NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sunnyside Pacnev Ltd., S.PS. and Joan Marshall, Claimants vs. Porcari, Fearnow & Associates, Inc., Art Porcari, Sanders, Morris & Mundy, Inc., York Securities, Inc., David Corcoran, Q&R Clearing Corp., and Prudential-Bache Securities, Inc., Respondents Case #88-00117 Award CASE SUMMARY Claimants allege that they placed an order to

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard Welch vs. Shearson Lehman Brothers, Inc. Lewis Tenzer Claimant Respondents CASE #88-01128 AWARD CASE SUMMARY Claimant Richard Welch bought ICOT stock allegedly on Respondent LeMis Tenzer's recommendation. On October 21, 1987, Respondent Lewis Tenzer told Claimant that the Claimant had a margin call Claimant alleged that Respondent Lewi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Claimant In the Matter of the Arbitration Between Edward'D. Curry vs. Thomson McKinnon Securities, Inc. Respondent CASE #88-99932 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 5, 1988, Claimant Edward D. Curry alleged that Respondent through its employee failed to execute an order as given; habitually opened positions without ha

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of tne Arburatton Between Joseph A. Semany and PaineWebber, inc. and Michael Buckner Claimant Respondents AWARD 88-99925 CASE SUMMARY In a claim filed with the NASD, Claimant Joseph A. Semany alleges that Respondents PaineWebber, Inc. and Michael Buckner failed to execute a buy order for 20 IBM July 140 puts. In their joint answer, Respondents stated that in a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Robert W. Meyer Claimant vs. Prudential-Bache Securities, Inc. Respondent Case 188-03898 Award CASE SUMMARY Claimant Robert Meyer alleged the Respondent Prudential-Bache Securities, Inc., through its employee, willfully and recklessly made misrepresentations to the Claimant concerning the suitability of securities being recommended and traded, and

® N.A.S.D. AHARD ATICWAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Nana nf n^< m«nf^|j,^ David Gresty BCidder, Peabody & Co., Incorpr- William Forrester eatd before the msntiers of the Aibitration Panel: yron Dunay, Esq. .C. (Chris) Andarson Hen J. Kaplan, Esq. Arbitration National Aaaociation of Sacurltlaa Oealen. inc. One East Brn" ^ Soulevard Suite 1000 Ft. Laud- ?. a. Rorida 33301

Arbitrition N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between H3inS-.':JL_c:J.aiJT)arff:/,s) Miles E Sobexmari, Co-trustees: "obsnran 88-03495 Name of Respondenrj..;!] Sutro St Co. Incorporated Ralph Pollard fiMotM AMoeiMion of SMurMMOMieis,ln& 42SCalifomiaSt. Rm. 1400 San FrancisGO. CA 94104 (415) 781-3343 FAX: (415) 382-9946 Ttixs i:.vHf «ao *-'tled with tlie National Assoc

Arbttratton imnu— OS MATICNAL ASSOCIATICN OF SECURITIES DEAIBiS In the Matter o£ tbe Azbitxation Betweea Name of (TlaiinRnt Richard C. Reilly M.D. 88-01718 Name of Rpsncndfints QEJpenhelinar & Co., Inc. Zbsfibai Reilly National Association of Securities Dealers, Inc. NASD Financial Center 33 V«/h(tehali Street New York. N.Y. 10004 FAX (212) 858-4389 For Claimant Richard C. Reilly ("daisant"): Rdbert S. Krause of Diddnsc

AWARD AND STIPULATION NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant R. Douglas Smithson 97-04815 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION For Claimant R. Douglas Smithson ("Claimant"): Stephen T. Perkins, Esq., LeCIair Ryan, Richmond, VA For Respondent Dean Witter Reynolds, Inc. ("Respondent"): James D. Yellen, Esq., Dean Witter Reynolds, Inc., New York, NY CASE INFORMATION St

NATIONAL ASSOCIATION OF SECURITIES DEALERS, IMC. In the Matter of the Arbitration Between ANGELO M.~ALVES, vs. MACPEG. ROSS, O'CONNELL & GOLDABER. INC. and JOHN LEMOS, Claimant, ) ) ) ) ) Case #88-01722 Respondents. Award Heard before the members of the Arbitration Panel: John P. Cullem, Esq. Mr. Hal S. Holtsinger Mr. Eugene B. Harper CASE SUMMARY This claim was filed with the NASD. Inc. on May 26, 1988. The hea