NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Usha and Virji Hingrajia Claimant(s) vs. 89-01484 Charles Schwab & Co., Inc. and Jeanette Szucsansky and Pat Cooper Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Usha and Virji Hingrajia alleged that Respondent{s) Charles Schwab & Co., Inc. and Jeanette Szucsansky and Pat Cooper mishandled their account. Respondent(s) main

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Albert K. Hanna, (Claimant) vs. Janney Montgomery Scott Inc. and Christopher T. Kline, (Respondents) Case Number: 99-02684 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Albert K. Hanna, hereinafter referred to as "Claimant": Steven R. Goldberg, Esq., a sole practitioner, New York, NY. Respondents, Janney Montgomery Scott Inc. ("Janney**) and Christop

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Rodeo Maritime Company, S.A. Claimant vs. Shearson Lehman Mutton, Inc. arid E.F. Hutton (France) S.A.R.L. ResDondents Case #89-01480 AWARD CASE SUMMARY Claimant Rodeo Maritime Company, S.A. ("Rodeo") claims against Respondents Shearson Lehman Hutton, Inc. ("Shearson") as successor in interest to E.F. Hutton & Company, Inc. and E.F. Hutton ("Fran

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. / In the Matter of the Arbitration Between ) Joseph Jachetta ) Lucy Jachetta Claimants ) vs. ) AWARD Judy & Robinson Securities Inc. ) CASE NO. 89-01477 Paul Hanson Respondents ) SUMMARY OF ISSUES Claimants alleged Respondents invested their funds in limited partnerships and real estate investment trusts which were not suitable for their financial status, investment objectives and station

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Rudy Sampieri c/f Carl Sampieri, Claimant vs. M.H. Meyerson & Co., and Ralph Incantalupo, ) Respondents ) ) Case #89-01474 Award CASE SUMMARY Claiman-t, Rudy Sampieri c/f Carl Sampieri, allegecrthat Respondent, Ralph Incantalupo. \»*«LLII MientiU L'lii 'jluii. First Provident Group, for which his firm was allegedly a Market Maker and enc

NATIONAL ASSOCIATION OF SECURITIES 1'EALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Alan R. Naftalis Claimant vs. E.F. Hutton d/b/a Shearson Lehman Hutton and Ephraim Yurowitz Respondents Case #89-01470 AWARD CASE SUMMARY Claimant Alan R. Naftalis ("Claimant") alleged tfiat* Respondent Ephraim Yurowitz ("Yurowitz"), an employee of Respondent E.F. Hutton ("Hutton"), repeatedly recommended stock of companies that had not bee

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard Moscatello Claimant(s) vs. 89-01469 Monmouth Investments/Gaines & Noble, David Haber and Jack Mondel Respondent(s) NOTICE OP ARBITRATION AWARD THIS NOTICE OP ARBITRATION AWARD SUPERCEDES THE NOTICE OP ARBITRATION AWARD DATED AUGUST 21, 1989 CASE SUMMARY Claimant (s) Richard Moscatello alleged that Respondents) Monmouth Investments/

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Frank and Bridget Blainey Claimant(s) vs. 89-01467 Equitable Securities of New York Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant (s) Frank and Bridget Blainey alleged that Respondents) Equitable Securities of New York made unauthorized transactions. Respondent(s) did not respond. RELIEF REQUESTED Claimant(s) Frank an

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among * The Fahey Banking Company Martin Hughes, III and * Carl Hughes Claimants * Case £89-01465 Award vs Shearson Lehman Mutton, Inc. * Stephen Schott Glenn Fallen Respondents CASE SUMMARY Claimants, The Fahey Banking Company ("Fahey"), Carl Hughes and Martin Hughes, III, alleged that Respondents Shearson Lehman Hutton, Inc., Steph

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Allen Rosenblum vs. Claimant(a) 89-01452 Wall Street Clearing Co. and Thomas D'Auria Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(B) Allen Rosenblum alleged that Respondent(s) Wall Street Clearing Co. and Thomas D'Auria failed to execute a sell order as requested by Claimant and did not provide stock certificates requested o