NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) LLOYD AND GAIL KAISER ) ) Claimants ) and ) ) CASE NO. 89-00615 BLINDER, ROBINSON & CO., INC. AND ) MARK BOYLE ) ) Respondents ) CASE SUMMARY In a claim filed with the NASD on February 27, 1989, Claimants Lloyd and Gail Kaiser, ("Claimants") alleged that Respondents Blinder, Robinson and Co., Inc. and Mark Boyle (collectively as

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, A************************* In the Matter of the Arbitration Between * N.C. Harrison, Jr. Claimant vs. #89-00605 Smith Barney, Harris Upham & Co., Inc. * J.C. Bradford and Co., inc. * Respondents * * * *************************** CASE SUMMARY Claimant alleged that Respondents purchased securities for Claimant's accounts without authorization that consisted of stock- unsuitable f

W10HAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between LOUIS BERNSON Claimant v. PRUDENTIAL 8ACHE SECURITIES, INC. Respondent AWARD NASD NO. 89-00580 SUWARY OF THE CASE Louis Bernson ("Claimant") alleges that at the end of 1986 his Keough plan had an account with Prudential Bache Securities, Inc. {"Respondent"), which held a certificate for 6,158 shares of Putnam High Yield Trust ("Putnam"). In January

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jerry Wayne Wiley Claimant vs. AWARD #89-00578 Morgan Gladstone Investment Bankers, Inc. Respondent Case Summary Claimant Jerry Wayne Wiley alleged he placed an order on June 5, 1987 with Respondent Morgan Gladstone Investment Bankers, Inc. to sell 8,000 shares of American Assurance Underwriters Group, and that Respondent failed to execute his order.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ruth Arlyn Levin Claimant vs. Prudential-Bache Securities, Inc., and Thomas Breen Respondents CASE NO. 89-00577 SUWARY OF ISSUES Claimant filed this claim with the NASD on February 21, 1989 and alleged that the recommended investment in Continental Option Income Plus Fund II was not suitable. Claimant further alleged that Respondents failed to advis

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert Blumenthal Claimant vs. J.T. Moran & Company, Inc. Frank Fischer Gerald Hirschhorn Respondents CASE #89-00575 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 21, 1989, Claimant Robert Blumenthal alleged Respondents invested his funds in investments that were unsuitable for him

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE:99-02582 Parker/Hunter Incorporated, claimant vs. Robert Vettorel, respondents. ATTORNEYS: For Claimant, Parker/Hunter Incorporated appeared Jay W. Lewis in-house counsel for Parker Hunter Incorporated, Pittsburgh, PA. For Respondent, Robert Vettorel appeared JoAnne Schwendinger, Esq. of the firm Rizza & Schwendinger, LLC. Pittsburgh, PA. DATE FILED: June 4, 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Cisca Brier Shapero Claimant ) } vs. ) AWARD ) Dean Witter Reynolds, Inc. Respondents ) CASE NO. 89-00573 and Glenn C. Palmer ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on February 22, 1989. Claimant alleged that Respondents failea to execute her order as placed on August 19, 1986 t

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Timothy Leahy Claimant(s) vs. Olde Discount Stock Brokers Respondent(s) NOTICE OP ARBITRATION AWARD 89-00572 CASE SUMMARY Claimant Timothy Leahy alleged that Respondent Olde Discount Stock Brokers failed to execute a cancellation. Respondents maintain that Claimant failed to cancel. AWARD Pursuant to Section 13 of the NASD, Inc. Code of Arbitr

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Grsg and Ellen Stern ttee Stern Co. Pension Trust Claimant(s) ARBITRATION vs. AWARD 89-00570 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Greg and Ellen Stern ttee Stern Co. Pension Trust disputes a mutual fund redemption fee assessed by Respondent. Respondent(s) maintain that Claimants were aware of the r