NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) DOROTHY F, GILBERT, ) Claimant. ) ) Case J88-03621 vs . ) Award ) DEAN WITTER REYNOLDS, INC.. and ) HERVE LEIGEOIS. ) Respondents. ) Heard before the members of the Arbitration Panel: Nancy C. Wear. Esq. Eduardo J. Palacio. Esq. S. Richard Savage CASE SUMMARY This claim was filed with the NASD, Inc. on November 11, 1988. The hear

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02534 Ameritrade Inc., claimant vs. Edward Britton , respondent. ATTORNEYS: For Claimant Ameritrade, Inc. ("Claimant"), Eric Hamilton, Regulatory Department of Ameritrade Inc., Bellevue, Nebraska. Respondent Edward Britton ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 06/02/1999 CASE SUMMARY: Claimant maintained that in October of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) GLYNDA B. ELLIS, ) Claimant, ) ) Case 188-03619 vs. ) Award ) RAYMOND JAMES & ASSOCIATES, INC. and ) BARRETT WOODSMALL, ) Respondents. ) ) Heard before the members of the Arbitration Panel: Thomas Fotopulos, Esq. Mr. James F. Turner III Mr. Arthur De Stefano CASE SUMMARY This claim was filed with the NASD, Inc. on November 21

Arbitration N.A.S.D. PWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name pf Clajmgnc Dolores Baldino vs. Name of National Association ol Securities Dealer*. Inc. NASD Financial Center 33 Whitenall Street New for*. New York 1000" Case * 90-03316 Merrill Lynch Pierce Fenner 6. Smith Inc Gibraltar Securities Co. Anthony P. Marino For Claimant: Robert S. Moraff, Esq. of Schwa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Ruby M. Sparks Claimant vs. Case #88-03613 AWARD Interstate Securities Corporation & Roger Price Respondents CASE SUIWRY Claimant Ruby Sparks alleged that Respondents Interstate Securities Corporation and Roger Price developed a securities program for her that was unsuitable for a person in her situation and contrary to her investment object

JAN 18 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Estate of Mathew Landy Claimant vs. Chubb Securities Corporation Respondent Case Summary AWARD 188-03611 Claimant alleged that Respondent improperly sold stocks in the portfolio of Mathew Landy creating a subsequent loss for the Claimant since the stocks were allegedly sold before the Estate of Mathew Landy had received required tax wai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Martin H. Novitsky Claimant vs. Shearson Lehman Brothers, Inc. and Frank E. Bruno Respondents Case 188-03610 AWARD CASE SUMMARY This proceeding was commenced initially on November 21, 1988 by Claimant Martin H. Novitsky ("Novitsky") against Shearson Lehman Brothers, Inc. ("Shearson") and Frank E. Bruno ("Bruno") and arises out of an account held

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Genevieve F. Klein John W. Klein vs. Claimants Thomson McKinnon Securities, Inc. Richard Byerly Respondents CASE #88-03609 AWARD CASE SUMMARY Claimants assert that Respondents made misrepresentations concerning the value of stocks held in their account. Further that because of their reliance on the misrepresentations because they were unable

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Nathan Gross Claimant vs. Prudential Bache Securities, Inc. Respondent CASE #88-03608 AWARD CASE SUMMARY Claimant asserts Respondent influenced and persuaded him to make unsuitable investments at a time when Claimant retired. Further, excessive trading which generated commissions and margin interest were conducted. Respondent contends Claimant w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Oppenheimer & Co, Claimant/Counter ) Respondent ) AWARD vs. ) CASE NO. 88-03607 ) Peter and Anna Katz Respondent(s)/ ) Counter ) Claimants ) ) SUWARY OF ISSUES This case was filed on November 21, 1988. Claimant/Counterrespondent alleged that Respondents/Counterclaimants opened an account with Claimant and executed a Customer Agreement, O