N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02712 ^ Tyrolean Investment Properties, Inc., and Thomas F. Preston, claimants vs. Charles Schwab, Ron DeCosta, and Geri Allison, respondents. ATTORNEYS: For Claimants Tyrolean Investment Properties, Inc. ("Tyrolean"), and Thomas F. Preston ("Preston"), appeared Thomas F. Preston, President of Tyrolean Investment Properties, Inc., Phoenix, AZ. For Responde

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) JAM SCHtflTZ ) Claimant ) v. ) NASD Mo. 89-01891 STUART-JAMES COMPANY, I.'.'C. ) Respondent ) CASE SUMMARY In a claim filed with the NASD on or about June 30, 1989, Claimant Janice Schmitz ("Schmitz") alleged that Respondent Stuart James Company, Inc. ("Stuart James") violated the New Mexico Securities Act engaged in unfair trade practices, fraud, b

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eimni H. Fischl, tte 1987 Fiscal Living Trust Claimant(s) vs. Charles Schwab & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-01881 CASE SUMMARY Claimant(s) Emmi H. Fischl, tte 1987 Fischl Living Trust alleged that Respondent(s) Charles Schwab & Co., Inc. provided erroneous information to Claimant and then refused to cancel order in ac

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stifel, Nicolaus & Co. Claimant(s) vs. 89-01879 Tom G. Bay Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Stifel, Nicolaus & Co. alleged that Respondent(s) Tom G. Bay has not paid Claimant an overdue debit balance held with Claimant. Respondent(s) denies Claimant allegations. RELIEF REQUESTED Claimant(s) Stifel, Nic

HATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Virginia Hogan Living Trust, Virginia Hogan TTEE Claimant(s) NOTICE OF ARBITRATION vs. AWARD 89-01878 Dillon Securities, Inc. Respondent(s) CASE SUMMARY Claimant(s) Virginia Hogan Living Trust, Virginia Hogan TTEE alleged that Respondent(s) Dillon Securities, Inc. was negligent in handling Claimants' account. Respondent(s) maintain that the loss i

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) HARRY B. NEEL, M.D. ) Claimant ) and ) ) CASE NO. 89-01876 EARL R. SETTS AND ) PRUDENTIAL-BACHE SECURITIES, INC. ) Respondents ) CASE SUMMARY In a claim filed with the NASD on or-about June 28, 1989, Claimant Harry B. Neel, M.D. ("Claimant") alleged that Respondents Prudential Bache Securities, Inc. ("Pru-Bache") and Earl R. Belts, Jr. ("Setts

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Goddard Associates, Inc. Claimant ) AWARD ) vs. ) CASE #89-01874 ) Paine Webber Jackson & Curtis, ) Inc. and Robert Peisner Respondents ) ) SUMMARY OF ISSUES This case was filed with the National Association Securities Dealers, Inc., ("NASD") on June 29, 1989. Claimant alleged breach of fiduciary duty, misrepresentation, fraud, and unjust

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William and Susan Ledy Claimants vs, Ignatius Teichberg Teichberg, Loeb, Waxman & Rabinowitz, Inc. Teichberg Securities, Inc. Pershing Division of Donaldson, Lufkin & Jenrette Securities Corp. Respondents Award Case 89-01873 Heard before: Murray I. Sommer, Esq. Public Arbitrator Arnold L. Goren Public Arbitrator Harry D. Frisch, Esq.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between Dr. Richard J. Rose, as Trustee of the Richard J. Rose, M.O., P.A. Employees Money Purchase Plan and as Trustee of the Richard J. Rose, M.O., P.A. Employees Defined Benefit Plan Claimant vs. Gabelli & Company, Inc. Eduardo P. Lluria Douglas R. Jamieson Gamco Investors, Inc. Respondents CASE #89-01871 AWARD CASE SIM1ARY Claimant a

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In th« Matter of the Arbitration Between ROBERT J. and RITA P. SLATKOV, Claimantfl, vs. MERRILL LYNCH, PIERCE, FENNER 6 SMITH, INC., Reipondtnt. Case #89-01866 Award Heard before the Arbitrator: Leonard H. Davidson, Esq. CASE SUMMARY This claim wai filed with the NASD, Inc'. on June 28, 1989. The hearing was conducted in Port Lauderdale, Florida on April 10, 1990, with a total of o