Arbitration National Association of Secunties Dealers, Inc. 425 California St.. flm. 1400 San Francisco. CA 94104 (415) 781-3343 FAX: (415) 362-9946 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants] Stanley K. s, Elizabeth A. Morris 89-03074 E.F. Hutton & Company, ~nc .• Shearson Lehman Hutton, Inc., successor Ernest R. Dewey StMPVRT OF ISSUES This ca

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Jeffrey Buckman vs. Case No. 99-02906 Name of Respondent Sean P. McManus REPRESENTATION OF PARTIES Claimant, Jeffrey Buckman, hereinafter referred to as "Claimant": Anthony J. Horn, Esq., Attorney at Law, New York, New York Respondent, Sean P. McManus, hereinafter referred to as "Respondent" did not appear. CASE INFORMATION Statement of Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joan Smith, an individual, and Joan Smith Trustee for the Mary Duke Smith Trust No. 89-03071 Name of Respondents Shearson Lehman/American Express. Inc. REPRESENTATION OF PARTIES For Claimants: Seth Lipner, Esq. and Herbert Deutsch, Esq., of Deutsch & Lipner, Garden City, New York. For Respondents: Thomas M. Knepper. Es

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ELEANOR WEISS, et al, Claimants Case# 89-03070 vs. AWARD P.M. STEVENS SECURITIES CORP. and FRANK M. STEVENS Respondents CASE SUMMARY Claimants Eleanor Weiss, Beneficiary, Peter B. Weiss. Carol Bauman, Settlor Barry Weiss, Peter B. Weiss and Joseph Russo, trustee ("Claimants") alleged that Respondents, E.M Stevens Securities, Corp. and Frank M. Steve

NATIONAL ASSOCIATION OF SECURITIES DEALERS •f In the -Matter of the Arbitration Between John E. Schneider Claimant(s) vs. Dean Witter Reynolds, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03064 CASE SUMMARY Claimant(s) John E. Schneider alleged that Respondent(s) Dean Witter Reynolds, inc. refused to refund margin interest charged on a check that was neither received nor cashed by Claimant. Respondent maintains that

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George N. Kitsopoulos Claimant(s) vs. Quick & Reilly, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03063 CASE SUMMARY Claimant(s) George N. Kitsopoulos alleged that Respondent(s) Quick & Reilly, inc. failed to properly execute Claimant's order to purchase certain securities and subsequently failed to return Claimant's funds on a timely ba

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kirk A. Fruth Claimant(s) vs. 89-03061 Thomas V. Ackerly Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Kirk A. Fruth alleged that Respondent(s) Thomas V. Ackerly misrepresented the risks associated with certain securities recommended to Claimant. Respondent(s) maintains that he did not manage or supervise Claimant's accoun

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George Matray Claimant(s) vs. Stuart-James Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03059 CASE SUMMARY Claimant(s) George Matray alleged that Respondents) Stuart-James Co., Inc. acted in an unprofessional, unethical and perhaps illegal manner. Respondent(s) maintain that Claimant's suitability claim is unfounded and the real reas

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Florence Sroilovitz Claimant(s) vs. 89-03058 Murphey Favre,. Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Florence Smilovitz alleged that Respondent(s) Murphey Favre, Inc. did not execute a sell order on a timely basis. Respondent denies Claimant's allegations. RELIEF REQUESTED Claimant(s) Florence Smilovitz requ

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Mary Ross Claimant ) ) vs . ) AWARD ) Shearson Lehman Button, Inc. ) and Larry Ennis Respondents ) CASE NO. 89-03055 _ ; _ ) O ISSUES This case was filed with the National Association of Securities, Dealers, Inc. ("NASD") on November 1, 1989. Claimant alleged thai. Liie itjconuueuded inves Lmeiics in various mutual funds were not suitabl