Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Shailesh Desaiand JayashreeM. 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. Ffe^oqndents. REPRESENTATIONOF PARTIES Thomas C. Wagner, Esquire, of Chattrnan, Gaines& Stern, Cleveland, Ohio, represented Claimants S

NATIONAL ASSOCIATION OF SECURITIES DEALERS, IMC. In the Matter of the Arbitration Between Philips Roth as Executor of The Estate of Marvin Roth vs. Claimant J.S.C. Securities, Inc. Respondent CASE *89-00373 AWARD CASE SUMMARY Claimant alleged that Respondent failed to advise him 'hat trading index optinris was more risky and volatile than trading stock opti n n->. He contends he did not understand the premiums during trades h

NAFICNAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) DELOIS CQCH8< U Claimant(s) and MERRILL LYNCH PIERCE FENNER & SMITH, INC. AND BRIAN D. HINCHCLIFF Respondent(s) Case No. 89-00293 CASE SUMMARY Delois Cochr< m ("Claimant") alleged that Merrill Lynch Pierce Fenner & Smith, Inc. and Brian D. Hinchcliff . (collectively referred to herein as "Respondents") recommended unsuitable securities which were the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Larry J. Dixon Claimant vs. Connecticut National Bank CNB Discount Brokerage, Inc. Respondents CASE #89-00273 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 30, 1989, Claimant Larry J. Dixon alleged that the Respondents by selling Claimant's securities contrary to Claimant's stated instru

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Carole B. Williams vs. Claimant Philips, Appel & Walden, Inc. Robert Petrocine Respondents Case #89-00221 AWARD CASE SUMWRY Claimant, Carole B. Williams, alleges that she told Respondent Robert Petrocine, the registered representative with Respondent's firm Philips, Appel and Walden, Inc., that she wanted to invest $50,000.00 in a safe, secure a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between ) ; --.-( - ) f *>• *_* ' Claimants ) Award \>r* '•vrti -f\ ) NASD if vs. ) ) Respondents ) SUMMARY OF ISSUES I This case was filed on 'Jrm^rt.ut ?.? '•?£< ?. . _ CJr.iimOJ\ ' 3 U ~: /. n ^tO cA -_T ^ r.' 4ci> j.tr/. A ^ -> ^ ..Vy .-,t^ o(/^, VT?-^ A./JL DAMAGES AND RELIEF REQUESTED •••//

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Donald Ungar Iris Ungar Claimants vs. Kidder Peabody & Co., Inc. Mark Wildman Gerrard Harris Respondents CASE #89-00147 AWARD CASE SUMMARY Claimants Donald and Iris Unger (the "Ungers") allege that Respondents Kidder, Peabody & Co., Inc. ("Kidder. Peabody"), Mark Wildman ("Wildman"), and Garrard Harris ("Harris") placed the lingers on a

1ATIUNAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George P. Ballas and Ann T. Ballas Claimants vs. Oppenheimer and Company, Inc. Chester Rothman - Respondents AWARD Case #89-00122 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 23, 1989 Claimants George P. Ballas and Ann T. Ballas alleged that the recommendations made by the Respondents were un

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Elizabeth A. Read ) ) •Uaimant ) and ) A H A R D ) 89-0090 Broadcort Capital Corporation ) ) Respondent ) SUMMARY In a claim filed on or about January 5, 1989, the Claimant alleged that Broadcort Capital was negligent in the manner in which it cleared and reported the Claimant's stock sale transaction to the Claimant's broker- de

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Hatter of the Arbitration Between) ; LINDA MAPOOJJFY ) ) Claimant } and ) ) CASE NO. 89-00013 BOETTCHCR I COMPANY ) FRANK IIEG AND KRIS HAGER ) Respondents ) CASE SUMMARY In a cU1m filed on or about January 20, 1989 the Claimant alleged that Frank Zfeg, a representative of Botttchtr & Co. presented her with proposed investments in mutual 'unds which would provide a minim