NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Charles Schwab & Co., Inc. VS. Jamie Kelly Farris, an individual and Tax Advantaged Corporation - Claimant(s) Respondent (s) Investments ) ) ) ) ) ) ) ) ) ) ) ) ) ) ) AWARD CASE #89-00023 Heard before the arbitrator: Walter Hitchcock SUMMARY OF ISSUES This case was filed on January 4, 1989. Claimant alleged that Claima

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of-Claimant Vizcaya Capital Association, Ltd. Case No. 99-03407 Names of Respondents Dean Witter Reynolds, Inc. Isabelle N. Roux REPRESENTATION OF PARTIES For Vizcaya Capital Association, Ltd. ("Vizcaya"), hereinafter referred to as "Claimant": Russell L. Forkey, Esq., Russell L. Forkey, P.A., Fort Lauderdale, Florida. For Dean Witter Reynolds, Inc. ("Dean

r Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Martin J. Fliegel and Rocheile Fliegel, (Claimants) vs. Charles Schwab & Co., Inc., (Respondent) Case Number: 00-01111 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Martin J. Fliegel and Rocheile Fliegel, hereinafter collectively referred to as "Claimants", appeared pro se. Respondent, Charles Schwab & Co., Inc., hereinafter referred to as "Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Toledo Edison Federal Credit Union Claimant VS. Merrill Lynch Pierce Fenner & Smith, Inc. Joseph K. Grossman^ Respondents CASE #89-00012 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 13, 1989, the Claimant, Toledo Edison Federal Credit Union (sometimes referred to as "Credit Union") alle

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Wall Street Clearing Company vs. Balboa, Inc. Claimant AWARD Respondent CASE 188-03976 CASE SUWARY Claimant seeks a debit balance created in Respondent's account in 1987 when 5,000 shares of ATI Medical, Inc. were purchased in November 1987; a tendered check was returned by the bank; and a resultant liquidation of 2,000 shares occurred on Januar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant ( s \ Bevis & Nelson Nickerson 89-00002 Shearson Lehman Mutton, Inc. Eugene Gamble James Methven This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 17, 1989. Claimants alleged that Respondents placed Claimants in unsuitable investments, namely real estate limited partnerships,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Between wi Llisii; L. and ?r»nricia V. atsliwood 89-00010 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Merrill Lynch Money Markets, Inc. and Merrill Lynch and Co. OP PRTIES Claimants were represented by Stuart Bennett of Brega & Winters, P.C. of Denver, CO. Respondents were represented by Elizabeth W. Sachs and Vic McWherter of Paul, Hastings/ Janofsky & Walter of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) EDWARD STANTON MAXEY, M.O. ) Claimant(s) ) ) and ) CASE NO. 88-03699 ) PAINEWEBBER, INC. ) ) Respondent (s) ) CASE SUMMARY In a claim filed with the NASD on or about March 16, 1989, Claimant Edward Stanton Maxey, M.O. ("Claimant") alleged that Respondent PaineHebber, Inc. by and through its employee George Allen executed unauthorized tra

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) WILLIAM G. NOBLE, JR. ) Claimant ) and ) ) CASE NO. 88-03875 ) BEAR STEARNS & CO., INC.; HILL A. FEINBERG; HEATHER R. DUNDAS AND ) JOY JOHNSON ) Respondents ) CASE SUWARY In a claim filed with the NASD on December 20, 1988, Claimant William G. Nobel, Jr. alleged Respondents Bear Stearns & Co., Inc.; Hill A Feinberg; Heather R. Dundas a

9 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration NiUoral AMockrtlort of Sccurttk* Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale. Rorica 33301 (305) 522-7391 In the Matter of the Arbitration Between of David Stein, Bather Stein and Barbara Stein, individually and as custodian for Todd and Craig Stein Nnre of Re Raymond James & Associates, Inc. Daniel Law Dailey Douglas Mo