NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John Langford AtnJyn Langford Claimants vs. CASE #89-01783 AWARD Shearson Lehman Hutton, Inc. J. Evan MacWhirter Respondents CASE SUWARY Claimants, John and AtMyn Langford, allege they informed J. Evan MacWhirter, the registered representative with'the Respondent Brokerage firm, that they wanted a safe investment vehicle that would provide t

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between! Paul Shapiro Claimant(s) va, NOTICE OP ARBITRATION AWARD 89-01781 PaineWebber, Inc. and Henry Stueve Respondent(s) i This Notice of Arbitration Award superceded the Notice mailed to the Parties on October 20, 1989 CASE SUMMARY Claimant(s) Paul Shapiro alleged that Respondent(s) PaineWebber, Inc. and Henry Stueve made certain, misrepresent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Virginia A. Willis Claimant VS. Margate Securities, Inc. Jay Vermonty Ross Schneider James O'Brien Respondents CASE #89-01780 AWARD CASE SUMMARY Claimant alleges Respondents Margate Securities, Jay Vermonty and Ross Schneider failed to execute orders she gave for sale of stock. Respondent Jay Vermonty contends that wrongdoing, if any, oc

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02707 Olde Discount Corporation, claimant vs. Zhuoru and Guangyu Sun, respondents. ATTORNEYS: For Claimant Olde Discount Corporation ("Claimant"), Aaron L. Kleid, Esq., attorney for Olde Discount Corporation, Detroit, Michigan. Respondents Zhuoru and Guangyu Sun ("Respondents"), appeared Pro Se., Eugene, Orlando. DATE FILED: 6/14/1999 CASE SUMMARY: Claiman

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between: ) Bertram I. and R. Joy Sparr ) ) ) CASE #89-01772 ) Name of Respondent^ ) ) ) Peter Sperling ) Heard before the members of the Arbitration Panel: Allan J. Fedor, Esq. Arthur DeStef ano Fred T. Rodgers This claim was filed with the National Association of Securities, Inc. (NASD) on June 15, 1989. The hearing was conducted i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Louis Levins and Sadie Levine 89-01770 Name of Respondents) Shearson Lehman Hutton, Inc. Edgar Stauber Claimants alleged that Respondents churned the Claimants' account, negligently handled the Claimants' account, committed acts of fraud, and committed acts of unauthorized trading. Claimants further alleged that they were unsophisticated invest

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Dwight 0. Dunton, Jr. Case #89-01766 Claimant AWARD vs. Securities Settlement Corp. Respondent CASE SUMMARY Claimant Dwight D. Dunton alleged the Respondent Securities Settlement Corp. failed to promptly execute his sellout orders and instructions, and failed to obtain the best prices in the market upon sellout which has caused him to sustain lo

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ben Martorana vs. Claimant AWARD #89-01764 Todd H. Made)! Respondent Case Summary Claimant, Ben Martorana alleged that Respondent Todd H. Nadell, without his permission, sold from his account 800 shares of ISTEC and 800 shares of Med Mobile stock and on the same day purchased 540,000 shares of Noentix Medical Technologies. Respondent, Todd H. Nadell m

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Barry Pezzner Claimant(s) vs. 89-01763 Shearson Lehman Hutton, Inc. and William Lenihan Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Barry Pezzner alleged that Respondent(s) Shearson Lehman Button, Inc. and William Lenihan misrepresented or failed to inform as to material facts concerning Claimant's investment with Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Qppenheimer & Co., Inc. Case #89-01762 Claimant AWARD vs. Franz Wollsperger Respondent CASE SUMMARY Claimant Oppenheimer & Co.. Inc. alleged the Respondent Franz Wollsperger tendered payment by check for securities purchased in his account, and that this check was returned twice for insufficient funds. Claimant further alleged that as a result o