l+rrr NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Betwaer. Harry Fishman and Michael Fishman :'ainuints vs. Greeley Securities, Inc. Gregory Spencer Fred Paul Moi;eo Respondents CASE #89-01184 AWARD CA5C SIMMY Claimants allege that they purchased Aquasciences. They contend that Respondent Gregory Spencer withheld information that insiders were selling off large blocks of their own stock. Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of. the Arbitration Between/Among * * People's Securities, Inc. * Case #89-01179 * AWARD Claimant * * vs. * * Richard & Maribeth Rizzardi * * Respondents * CASE SUMMARY Claimant People's Securities, Inc. ("PSI") alleged that the major market downturn of October 19, 1987 required PSI to purchase large volumes of stock for Respondents Richard and Maribeth Rizzar

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Julie Mezydlo ) Claimant ) ) AWARD vs. ) ) NASD f 89-01178 Prudential-Bache Securities, ) Inc. and Ernest M. Dill ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 20, 1989. Claimant alleged that Respondents breached the implied and written agreements betwe

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marthe E. Brown, M.D. Claimant(s) vs. 89-01173 Drexel, Burnham, Lambert, Inc. and Steven M. Wilson Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Marthe E. Brown, M.D. alleged that Respondent(s) Drexel, Burnham, Lambert, Inc. and Steven M. Wilson made an unauthorized trade. Respondent(s) maintain that they acted properly an

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Charles Schwab & Co., Inc., Claimant vs. Mark Ziegaus and Deanza Ziegaus, Respondents. Mark Ziegaus and Deanza Ziegaus, Claimants vs. Charles Schwab & Co., Inc., Respondent. Consolidated Case Numbers: 99-02659 and 99-02698 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Charles Schwab & Co., Inc., hereinafter referred to as "Claimant or Schwab": Cur

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of Arbitration Between Arnold Gottlieb Claimant CASE #89-01172 AWARD vs. Rosenkrantz, Lyon & Ross, Inc. Respondent =3 = « = «*Bsss5st3«»a»»«s«*B«S3««»r:*«»»«»»a«a3:t«»«»»» CASE SUWARY This claim was initially commenced on April 18, 1989. The essence of Claimant's claim against Respondent, Rosenkrantz, Lyon and Ross, Inc., consisted of allegations of conflict of interest a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Salvatore C. Buccola and Michael E. Buccola vs. Claimant(s) 89-01169 Martin J. Mclntyre and Chip Rice Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Salvatore C. Buccola and Michael E. Buccola alleged that Respondent(s) Martin J. Mclntyre and Chip Rice mismanaged Claimants' account and failed to execute a sell order as

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louis J. Bertolami Camille A. Bertolami vs. Claimants CASEt 89-01156 AWARD John Passaro Vincent DeSantis Robert Mulvihill Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 18, 1989, Claimants Louis J. and Camille A. Bertolami alleged Respondents John Passaro, Vincent DeSantis

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William J. and Madalyn Blair C/F Ryan William Blair Claimant(s) vs. Shearson Lehman Button, Inc., et al Respondent(s) NOTICE OP ARBITRATION AWARD 89-01165 CASE SUMMARY Claimant(s) William J. and Madalyn Blair C/F Ryan William Blair alleged that Respondent(s) Shearson Lehman Button, Inc., et al released funds from a custodial account withou

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Carol Sue Teague Claimant(s) vs. 89-01164 Charles Schwab & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD This Notice of Arbitration Award supercedes the Notice mailed to the Parties on October 20, 1989 CASE SUMMARY Claimant(s) Carol Sue Teague alleged that Respondent(s) Charles Schwab & Co. , Inc. improperly charged KEOGH account maintenance