NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION Anthony Valente Case #89-01209 Claimant AWARD vs. Anthony Pallo Respondent CASE SUMMARY Claimant Anthony Valente alleged that the Respondent Anthony Pallo misrepresented the quality and safety of the Putnam High Income Government Trust Fund and improperly charged the Claimant a commission upon the sale of this Fund. The Claimant also alleged that the Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Michael & Eve Lohnes Claimants vs. Hakefield Financial Corporation and George Palefsky Respondents Case *89-01298 AWARD CASE SUMMARY Claimants Michael end Eve Lohnes alleged that Respondent George Palefsky and Respondent Hakefield Financial Corporation failed to execute the sale of certain securities, and made c-.her unauthorized sales and purch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael A. lacovacci AWARD #89-01286 Name of Respondent Merrill Lynch, Pierce Fenner & Smith, Inc. CASE SUMMARY Claimant, Michael A. lacovacci alleged that Respondent, Merrill Lynch,,. Pierce, Fenner & Smith, Inc. failed to enter certain sale orders on October 20, 1987 in a timely fashion, resulting ijn losses to the Claimant. Respondent ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS^INC. IN THE MATTER OF THE ARBITRATION BETWEEN Vasilios Myrianthopoulos Claimant vs. Case #89-01257 AWARD Merrill Lynch, Pierce, Fenner & Smith (Hellas) L.L.C., Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondents CASE SUMMARY Claimant Vasilios Myriantliopoulos alleged the Respondents Merrill Lynch, Pierce, Fenner & Smith (Hellas) L.L.C. and Mernll*Lynch, Pierce, Fenner & Smith, Inc. w

N.A.S.D. AWARD -NATIONAL ASSOCIATION 05 SECURITIES DEALERS In the Matter of the Arbitration Between John G. Avery 89-01252 Name of ttegnonderrtrg) R. G. Dickinson & Company and David Butler CASE SMART John G. Avery ("Claimant") alleged that David Butler, a registered representative of R.G. Dickinson & CO. (Butler and R.G. Dickinson are collectively referred to herein as "Respondents") misrepresented and omitted to state material facts re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eino R. Olivares T.i.nda Olivares Heijo Olivarea 89-01244 of Respondent ( a \ Chris S. Christy Joseph V. Ace Eino, Linda, and Heijo Olivares ("Claimants") alleged that: 1. Chris Christy ("Christy"), a registered representative of Joseph P. Ace ("Ace") (Ace and Christy are collectively referred to herein as "Respondents") engaged in the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John F. Eric w. VS . Seligman Horty and Springer, Trustees Claimants Marketing, Inc. Respondent X X X X X X X X X X X X CASE NO. 89-01200 ORDER CASE SUMMARY Claimants, John F. Horty and Eric W. Springer, Trustees of the Horty, Springer & Mattern, a professional corporation pension

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant's) Computer Color Graphics, Inc. 89-01191 Name of Respnnc Brack Stanford Stanford Securities, Inc. Gerald Fox In a statement of claim filed with the NASD on or about April 24, 1989, Claimant Computer Color Graphics, Inc. alleged that Respondents Brack Stanford, Stanford Securities, Inc. and Gerald Fox committed fraud and fa

NASD REGULATION AWARD, INC. In the Matter of the Arbitration Between Name of Claimants Hin Wai Law and Wai Ling Chien 92-02683 Name of Respondents Reich & Co., Inc. (Reich #1) Bear, Stearns Securities Corp. Kin K. Lam Fahnestock & Co., Inc. Reich & Co., Inc. (Reich #2) REPRESENTATION For Claimants Hin Wai Law and Wai Ling Chien appeared Martin J. Siegel, Esq., with law offices in New York, New York. Respondent Reich & Co., Inc. (

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Nick Van Der Kaaij Names of Respondents Josephthal & Co., Inc. Gregory L. Proechel Case No. 99-03413 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Nick Van Der Kaaij ("Van Der Kaaij") hereinafter referred to as "Claimants": Marcos Jimenez, Esq. and Felix Lopez, Esq., White and Case, LLP, Miami, Florida. For Josep