NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Elsmarie Norby Claimant vs. PaineWebber, Inc. and Respondents Rebecca Miller AWARD CASE NO. 89-00363 SUMMARY OF ISSUES This case was filed on February 6, 1989. Claimant alleges that Respondents induced her to purchase three, ten thousand dollar limited partnership interests, even though Respondents knew that said investments were unsuitable in light

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Kenneth Grossfeld. ) Claimant, ) ) Case 189-00276 vs. ) Award ) Charles Schwab & Co., Inc., ) and Charles Schwab individually, ) Respondents. ) ) Heard before the members of the Arbitration Panel: Arthur J. Leibell. Esq. Mr. Arieh Leo Douer Mrs. Penny N. Miller CASE SUMMARY This claim was filed with the NASD, Inc. on February

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Anthony and Connie Masciantonio, ) Claimants ) Case #88-03920 ) vs. ) Award ) Charles Schwab & Co., Inc., ) ) Respondent ) CASE SUMMARY Claimants allege that Respondent failed to properly advise them of the status of their account, that the manager, Jerry Roney, refused to accept their numerous phone calls, that Respondent entered their

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betweeriy John R. Vaccaro, as personal ) representative of the estate of ) Ernest Whitaker ) Case No. 88-03912 of jtespondents ) Marrill Lynch, Pierce, Fanner ) & Smith, Inc., Jbhn A. Haley j David B. Ellis ) Heard before the members of the Arbitration Panel: Peter J. Porman, Esq. Public Leslie Bishop Industry W. Allen Schmitt Public This nat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William P. Franzese, Sr. (Claimant) vs. A. G. Edwards & Sons, Inc. (Respondent) Case Number: 03-07494 Hearing Site: Boston/Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant William P. Franzese, Sr., hereinafter referred to as "Claimant": Philip M. Giordano, Esq., Reed & Giordano, Boston, MA. Previously represented by Darren Blum, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Grace Fraser, Executrix for The Estate of Thomas M. Fraser, and Grace M. Fraser, Trustee of the Thomas M. Fraser Trust (Claimants) vs. A.G. Edwards & Sons, Inc. (Respondent) Case Number: 05-00927 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Customers v. Member. REPRESENTATION OF PARTIES Claimants Grace Fraser, Executrix for the Estate of Thomas M. Fraser ("Esta

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. Timothy Behany (Respondent) Case Number: 06-00269 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC hereinafter referred to as "Claimant": Daniel S. Fiore, Esq., and Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, VA. Responde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alan Decarolis (Claimant) vs. The Concord Equity Group, LLC and Carl Cherasia (Respondents) Case Number: 05-05569 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Alan Decarolis hereinafter referred to as "Claimant": Howard J. Schwartz, Esq., Porzio, Bromberg & Newman, Newark, NJ. Respondent The Conc

NATIONAL ASSOCIATION OF SECURITIES DEALERS in "he Matter of the Arbitrafon Between Mark Sharon Cla ••nant Shearson Lehman Brothers, Inc. a;k/a Shearson American Express, Inc. Respondent AWARD =89-00965 Case Summary Claimant Mark Sharon a'leged that Respondent Shearson Lehman Brothers, Inc. induced him to purchase stocks on margin that created losses to the Claimant when these allegedly unsuitable stocks were sold without authorizatio

Amended Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Shailesh Desai and Jayashree M. Paranjape, Claimants Case Number: 99-03410 Vs. Hearing Site: Cleveland, Ohio Fairchild Financial Group, Inc., Bradley D. St. Myer, Jason Michael Cope, Edward J. McCune, and Allen Soles, Respondents. CLARIFICATION An Award was served in this matter on April 4, 2001. Clarification of the Award was thereafter sou