NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ben H. Zobel Claimant(s) vs. Drexel Burnham Lambert & Cooper/Neff Respondent(s) NOTICE OF ARBITRATION AWARD 89-02446 CASE SUMMARY Claimant(s) Ben H. Zobel alleged that Respondent(s) Drexel Burnham Lambert & Cooper/Neff failed to timely execute trades. Respondent(s) maintain that Claimant's losses, if any, are a result of Claimant's own inv

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Evelyn Hetzler Case #89-02445 Claimant AWARD vs. PaineWebber, Inc. Respondent : CASE SUMMARY Claimant Evelyn Hetzler alleged that Respondent PaineWebber, inc., acting through an employee, deliberately and fraudulently mishandled the Claimant's account by making unsuitable recommendations, churning the Claimant's account, and making various misre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Christopher Peter Veltmann CASE #89-02442 Name of Respondent(s) Securities Settlement Corporation Greentree Securities Corn. Heard before the members of the Arbitration Panel: Allan J. Fedor, Esq. Charles R. Newcomer, Jr. John P. Cullem, Esq. CASE SdHART This claim was filed with the National Association of Secur

AWARD NASD Regulation, tat. In the Matter of the Arbitration Between Michael J. Ngnon "- 02806 Wamfe of Respondent John G. Kinnard & Company, Inc. OF PARTIES Michael J. Norton ("Claimant") was represented by Deris E. Grande, Esq. and Joanne H. Turner, Esq-, Mackall Crounse & Moore, PLC, Minneapolis, Minnesota. John G. K>nnard& Company, Inc. (''Respondent") was representcdby Marko J. Mrkonich, Esq. and Chad W. Strathman, Esq., Littler Men

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lawrence j. Kaitz Elizabeth N. Kaitz Gerald I. Emerick vs. Claimants CASE* 89-02441 Smith Barney Harris Upham Co., Inc. Florette Small Respondents Heard before: Richard W. Vallario, Esq. Public Arbitrator George H. Hearn Public Arbitrator Emil Spinelli Industry Arbitrator CASE SUMMARY In a claim filed with the National Association of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony P. Rua Claimant(s) vs. Madison Chapin Associates, Inc. and Peter Panariello Respondent(s) NOTICE OF ARBITRATION AWARD 89-02436 CASE SUMMARY Claimant(s) Anthony P. Rua alleged that Respondent(s) Madison Chapin Associates, Inc. and Peter Panariello executed an unauthorized purchase in Claimants' account and subsequently misrepresente

Arbitration NATIONAL ASSOCIATION OF SMCUKTi'lBS DEALERS In the Matter of the Arbitration pg f f lj»4tnftT>t (8) George Fauser Name of Sfrancndent {a) Stuart Janes Ccnpany, Inc. David Weintraub David Harrington of Inc. On* East Broward BouMvard Suit* 1000 Ft. Uud«rdai*. Florida 33301 (305) 522*7391 Mb. 89-02431 For Claimant, George Fauser ("Fauser") i Michael Addiaon, Eaq. of Gosaett. & Co., Itoc. ("Stuart

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Melvin C. Harris and Phyllis A. Harris vs. Stuart-James & Co. and Shaw P. Sullivan Claimant(s) Respondent(s) NOTICE OP ARBITRATION AWARD 89-02430 CASE SUMMARY Claimant(s) Melvin C. Harris and Phyllis A. Harris alleged that Respondent(s) Stuart-James & Co. and Shaw P. Sullivan caused Claimant to suffer damages due to misrepresentation, exce

NASHJ Arbitration N.A.S.D. AWARD National Association of Securities Dealers. Inc. One East Browaro Boulevard Suite 1000 :305522 7391 NATION?!. ASSOC1ATTPN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Shcchet Securities, Inc. CASE #89-02417 Henry Bloch Heard before the members of the Arbitration Panel: John B. Kelley, Esq. Mr. Andrew E. Baluk Mr. Joseph M. Luby CASK SDMHMCT This claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Alfred W. Rousseau June M. Kupfer vs. PaineWebber, Inc. Claimants AWARD Respondent CASE #89-02413 CASE SUWARY In a claim filed with the National Association of Securities Dealers, Inc. on August 28, 1989 Claimants Alfred W. Rousseau and June M. Kupfer alleged that Respondent through its account representative churned the Claimants' account t