NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Arthur Violetta, Jr. and Diane Violetta Claimants vs. Case *89-01862 AWARD Gruntal & Company, Inc. Respondents CASE SUMMARY Claimants Arthur and Diane Violetta alleged that they opened an Individual Retirement Account with Respondent Gruntal & Co., Inc. through one of their account executives. Claimants alleged that they were initially put i

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, CASE: 99-02711 Olde Discount Corporation, claimant vs. Tysir S. Nasser and Amy Nasser, respondents. ATTORNEYS: For Claimant Olde Discount Corporation ("Claimant"), Aaron L. Kleid, Esq., Staff Attorney, Olde Discount Corporation, Detroit, Michigan. Respondents Tysir S, Nasser and Amy Nasser ("Respondents") did not respond to the Statement of Claim. DATE FILED: 06/14

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between] Vincent Fargione Claimant(s) vs. 89-01859 Monmouth Investments, Inc. and Richard DeRose Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Vincent Fargione alleged that Respondent(s) Monmouth Investments, Inc. and Richard DeRose committed and unauthorized trade in Claimant's account held with Respondent. Respondent(s) deny Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF ARBITRATION BETWEEN ) Lula M. Thomas and ) Kathleen G. Garlick, JTWROS ) Claimants ) AWARD vs. ) NASD Arbitration ) No. 89-01858 Jeffrey Wade Pinyon ) Michael John Landry ) Respondents ) * \ = S = S~ = SS35=SSKS33ZBXX3*S9SS5SSXS3SS = SS = X = 2SSV*ffVX*: VSS8 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 27, 1989 Cl

In the Matter of the Arbitration among ) FLORENCE M. LEWIS ) ) Case No. 89-01856 Claimant, ) ) AWARD v. ) BLINDER ROBINSON & CO., INC. and ) JOSEPH M. KAHN, ) Respondents. ) Case Summary claimant Florence Lewis alleged in her claim filed May 1989, that on or about June 23, 1988 respondents Blinder Robinson & Co., Inc. and Joseph M. Kahn, Jr. purchased 100,000 shares of Pasta Via stock for her account without her authorization.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jack D. and Theo L. Thomas Claimants AWARD vs. Texas Independent Securities, Inc. Jimmy Carter Trace E. Paradise Respondents CASE #89-01846 CASE SUMMARY Jack D. and Theo L. Thomas, in a claim filed with the National Association of Securities Dealers, Inc. on June 26, 1989, alleged that Respondents have not repaid a Ten Thousand Dollars and N

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ranko J. Zarubica Martha B. Zarubica vs. Claimants ) AWARD ) ) CASE #89-01845 ) Bateman Eicnler, Hill Richards, Inc. Respondents Melvin Vukcevich SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers (NASD) on June 26, 1989. Claimant alleged Respondents misrepresented the quality and type of investment

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Lauren Kelly Claimant ) vs. ) AWARD Shearson Lehman Mutton, Inc. Respondents ) CASE NO. 89-01843 and Darrell Petrie SUWARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on June 26, 1989. Claimant alleged that she executed a written authorization allowing Respondents to engage in an index option trading st

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard M. O'Connor, Claimant vs. First Fidelity Brokers, Inc., Respondent Case *89-01842 Award CASE SUMMARY Claimant, Richard M. O'Connor, alleges that on October 16, 1987 at 9:32 to 9:33 A.M. he gave Respondent, First Fidelity Brokers, Inc., an order to buy 70 465 XMI puts at up to $1.50 and that Respondent failed to execute the order prior to

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David and Mary Stratton Claimant(s) vs. 89-01838 Monmouth investments, Jack Mondel and David Haber Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) David and Mary Stratton alleged that Respondent(s) Monmouth Investments, Jack Mondel and David Haber negligently mishandled Claimants' account held with Respondents. Respondent(s)