NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Robert J. Hunt, ) Claimant ) Case #89-01388 vs. ) Award Merrill Lynch, Pierce, Fenner & Smith, Inc., ) and Rosalie Fields, ) Respondents ) CASE SUMMARY Claimant alleges that ROSALIE FIELDS, a Financial Consultant with Merrill Lynch, Pierce, Fenner and Smith, Inc., misrepresented the yields on three Corporate Bond Funds: High Income Portfolio, High

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jeff Stollman Claimant(s) vs. 89-01386 Graystone Nash, Inc. and Barry Bruaer Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Jeff Stollman alleged that Respondent(s) Graystone Nash, Inc. and Barry Bruner made unauthorized trades. Respondent Graystone Nash, Inc. maintains that the Claimant is a disgruntled customer and co

A y _a **• ynr-i Arbitration — • * ' - • — • - - - — National Association of SvcuntiM Oaatera, inc. 425 California St.. Rm. 1400 San Francisco. CA 94104 (415) 781-3343 FAX: (415) 362-9946 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between"" of Lewis J. Obi, M.D., & Bet Obi 89-01383 Name of Restxandent(s) Shearson Lehman American Express, Inc. This case was filed with the Nat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between CASANDRA K. MCCDRD, Claimant, vs. IRI SECURITIES CORP., ROBERT A. MAAS, JOSEPH R. MCCARTY and KEITH A. LOVELAND, Respondents. Heard before the members of the Arbitration Panel: Casey W. Mills, Esq. Mr. Harry Polansky Mr. Samson Silberman Case !89-0137t Award CASE SUMMARY This claim was filed with the NASD, Inc. on May 9. 1989. The hearin

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Anthony Gioffre, Claimant vs. Morgan Stanley Dean Witter & Co., Respondent. Case Number: 99-02675 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant, Anthony Gioffre, hereinafter referred to as "Claimant", was represented by Phillip D. Lehmkuhl, Esq., of Mount Vernon, Ohio. Respondent, Morgan Stanley Dean Witter & Co., hereinafter referred to as "Respondent", was repr

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Phillip Solar and Roberta B. Lewis Solar Claimant(s) vs. Dean Witter Reynolds, Inc. and Rick Wayne Respondent(8) NOTICE OF ARBITRATION AWARD 89-01373 CASE SUMMARY Claimants Phillip Solar and Roberta B. Lewis Solar alleged that Respondents Dean Witter Reynolds, Inc. and Rick Wayne performed an unauthorized sales transaction in Claimants' accoun

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. / In the Matter of the Arbitration Between ) Enid R. Bourgeois Claimant ) vs. ) E. F. Hutton & Co., Inc. / Respondent ) AWARD CASE NO. 89-01370 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 10, 1989. Claimant alleged that Respondent acted negligently and fraudulently by (1) failing to effect the sale and transfer

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lisa Risebrow Claimant(s) vs. 89-01368 Madison Chapin Assoc. Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Lisa Risebrow alleged that Respondent(s) Madison Chapin Assoc. Inc. committed unauthorized trading in Claimant's account held with Respondent. Respondent(s) deny Claimant's allegations. RELIEF REQUESTED -m

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard P. Martucci Claimant(s) vs. Greentree Securities Corp. and Roger Tichenor Respondent(s) NOTICE OP ARBITRATION AWARD 89-01367 CASE SUMMARY Claimant(s) Richard P. Martucci alleged that Respondent(s) Greentree Securities Corp. and Roger Tichenor overcharged Claimant for executing a purchase order. Respondent(s) Tichenor maintains that

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Hatter of the Arbitration Between Samuel Gershon Claimant(s) vs. Prudential-Bache Securities, Inc. and Maurice Sandier Respondent(a) NOTICE OF ARBITRATION AWARD 89-01366 CASE SUMMARY Claimant(s) Samuel Gershon alleged that Respondent(a) Prudential- Bache Securities, Inc. and Maurice Sandier made an unsuitable investment for the Claimant and failed to disclosed the sales charge