Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., (Claimant) vs. Michael Green, (Respondent) Case Number: 99-02628 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Charles Schwab & Co., Inc., hereinafter referred to as "Claimant": Richard A. Karoly, Esq., Corporate Attorney, Charles Schwab & Co., Inc. Respondent, Michael Green, hereinafter referred to as "Respondent", did not ap

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. / In the Matter of the Arbitration Between ) Francis J. Lang and Claimants ) Elsie Lang ) vs. ) CASE NO. 89-01064 Gallagher Capital Corp. Respondent ) SUMMARY OF ISSUES This case was filed with the NASD on April 7, 1989. Claimants alleged that their broker failed to put them in a cash position prior to the market crash of October 1987; failed to re-enter the market to purchase positions in com

APR ?. 3 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Peter LoFurno AWARD Claimant #89-01063 Charles O'Brien Respondent Case Summary Claimant Peter M. LoFurno alleged that Respondent Charles O'Brien failed to properly execute mutual fund transfers in his account in October of 1987 creating losses to the Claimant. Respondent maintained that the type of transfer that Claimant requested could not be ex

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David A. Egan Claimant(s) vs. 89-01061 Merrill Lynch, Pierce, Fenner & Smith, Inc. and Rick Hutchins Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) David A. Egan alleged that Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. and Rick Hutchins charged Claimant fraudulent charges. Respondent(s) deny any and all allega

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David B. Peterson Claimant(s) vs. 89-01050 Wall Clearing Co., j Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) David B. Peterson alleged that Respondent(s) Wall Street Clearing Co., executed on unauthorized transaction in Claimants' account. RELIEF REQUESTED Claimant(s) David B. Peterson requested damages of that the debit

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) MARJQRIE A. 8RANN ) ) Claimant ) and ) ) CASE NO. 89-01058 MERRILL LYNCH. PIERCE, FENNER & ) SMITH, SMITH BARNEY, HARRIS, UPHAM ) & CO., INC. et al. ) Respondents ) CASE SUMMARY In a claim filed with the NASD on April 7, 1989, Claimant Marjorie Brann alleged as follows: that she opened an account with Respondent M

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Douglas H. Jensen Claimant ) vs. ) Kennedy, Cabot & Co. Respondent ) Heard Before the Members of the Arbitration Panel: Jack I. Samet, Esq. Robert G. Sether David N. Mahler AWARD CASE NO. 89-01057 SUMMARY OF ISSUES This case was filed on April 7, 1989. Claimant alleged that Respondent failed to execute a sell order in April 1987 of 110,000

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) JOSEPH H. WALKER, ) Claimant, ) ) Case J89-01055 vs. ) Award ) RALPH LOFFREDO and ) INVESTORS CENTER, INC., ) Respondents. ) ) Heard before the member of the Arbitration Panel: James R. Kennedy Jr., Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on April 7, 1989. The hearing was conducted in Tampa, Florida on February

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Traian J. Pop Claimant(s) vs. 89-01053 J.W. Gant & Associates, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Traian J. Pop alleged that Respondent(s) J.W. Gant & Associates, Inc. executed unauthorized transactions in Claimant's account. Respondent(s) maintain that the account executives responsible are no longer emplo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Robert Rosario Claimant ) vs. ) AWARD Fahnstock & Co., Inc. Respondent ) CASE NO. 89-01049 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 7, 1989. On April 29, 1988, Claimant placed a good until cancelled order with Respondent to sell 20,000 shares of Pacific Energy Resources at $3.00 per shar