NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Donna \-\. and Ted C. Simpson Claimants ) and ) A W A R D ) 88-01596 Shearjon Lehman Mutton, Inc. ) Robert C. Behrens ) Respondents ) CASE SUMMARY \ In a claim filed with the NASD on May 17, 1988, Claimants Donn-s M. and Ted C. Simpson ("The Simpsons") alleged that Respondents Shearson Lehman Hutton, Inc. ("Shearson") and Robert C. Behre

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tejeda & Tejeda, Inc., DBA TNT Development and DBA TNT, Inc., a.k.a. T & T, Inc., Claimant v. Morgan Stanley Dean Witter & Co., Respondent Case Number: 99-03348 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: . Philip M. Aidikoff, Esq. Aidikoff&Uhl Beverly Hills, California For Respondent: Lawrence S. Achorn, Esq. Morgan Stanley Dean W

•i*V ,-.. ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of •'rc.it rat ion Between ) ) WALTER KRAMPITZ e: •>'. ) Claimants ) v. ) NASD No. 88-01526 PRUDENTIAL-8ACHE < ECJRITIES, INC. ) Respondent ) CASE SUMMARY Walte' fcrampitz, Paul Krampitz, Helmut Krampitz, Leo and Alice Arndt, and Edwarc < va(npiz (collectively referred to herein as "Claimants") alleged that Pruoential-Bache Securities, Inc. ("Respondent") failed to properly ex

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between META S. AND LORELEI B. BROWN and A. G. EDWARDS & SONS, ROSE VANARSDEL Claimants INC. AND Respondents ) ) ) CASE NO. 88-01494 CASE SUMMARY Meta S. Brown and Lorelei Brown (Meta and Lorelei Brown are collectively referred to herein as "Claimants") alleged as follows: 1. Rose Vanarsdel, a registered representative of A. G. Edwards &

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between /I /i mo* Claimants ) Award } NASD f vs. Ke Coruch. Ao/w -f / C\U(if Respondents SUMMARY OF ISSUES This case was filed on ( AC'i' Cl ( L _e ft ( i"- O. C .-Ax., ./j tj7.tr/ L iM\r A. ...;;•)/i V/T(J .!_/•" 'V> •_•/; A.. .':;. »L../';/)•./.'/^ 7i" (. '(LJ r. r i>i..t tC /"V 6.^. . .!/•/ ::L,{'^ / N

NATIONAL ASSOCIATION OF SECURITIES DEALERS In~-the Matter of the Arbitration Between Hal Mevorah Claimant(s) vs. Larry Geller, Venderbilt Securities, -^Prestige Investors, Inc. and Joseph Radcliffe Respondent(s) NOTICE OF ARBITRATION AWARD 88-01818 CASE SUldXARY Claimant(s) Kal Msvorah alleged that Respondent (s) Larry Geller, Vanderbilt Securities, Prestige Investors, Inc., and Joseph Radcliffe fraudulently misrepresente

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Daniel P. Krafka Claimant and PaineWebber, Inc. Steve Hill Respondents A W A R D 88-01764 SUMMARY Claimant alleges that on October 15, 1987 he placed an order for five OEX NOV.290 put options at a price of 4 1/8. C Lai man t also alleges that he instructed Respondent Hill to Immediately purchase Five OEX NOV.290 put options w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marianne Haves Claimant ) Case 188-01760 vs. Bull & Bear Securities, Inc. Respondent Award The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in submissions to arbitration signed by the parties on May 26, 1988 and July 14, 1988 respectively; An

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Ar&itration Between ) GLEN SCHIEVE ) Claimant ) NASD No. 88-01746 v. ) R.G. DICKINSON & CO. ) Respondent ) CASE SUNDRY In a claim filed with the NASD on or about May 31, 1988, Claimant Glen Schieve ("Schieve") alleged that Respondent R. G. Dickinson & Co. ("RGD") failed to close Schieve's account when ordered to do so. Additionally, Schieve alleged that RGD sold 3000 s

Kc S :o,JL_£__L Volume **-_, Number_i Year ?O .'.ATIGHAL .AssociATio:< OF ^cu^riES LI-'.LVO, .•:•;. In the f^nisr of the Aroitration tietween ) Dudley V!. Goetz, D.O., P.C. ) Defined Benefit Pension Plan ) Claimant ) and ) A W A R D ) 88-00854 E.F. Huttcn & Co., Inc. and ) Theodore 0. Burhans ) Respondents ) CASE SUMMARY In a claim filed on or about March 3, 1988, the Claimant alleged that Responde