NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) HANS-HERMAN BOCK ) ) Claimant ) and } ) CASE NO. 88-03535 R. 8. MARICH, INC. ) ) Respondent ) CASE SUMMARY In a claim filed with the NASD on or about November 14, 1988, the Claimant Hans-Herman Bock ("Bock") alleged that in November 1986, the Respondent R. B. Marich, Inc. ("R. B. Marich") transferred his account to another brokera

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Fred Schwarz Claimant vs. Shearson Lehman Hutton, Inc. Richard Stein Respondents CASE #88-03532 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 14, 1988, Claimant Fred Schwarz alleged Respondent Richard Stein was negligent and otherwise breached his fiduciary duties to Claimant by failing

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Geraldine Smarr Claimant(s) vs. Dennis Powell, Lincoln National Life Insurance Co., and MPS Lifetime Mutual Fund Respondent(s) NOTICE OP ARBITRATION AWARD 88-03524 CASE SUMMARY Claimant(s) Geraldine Smarr alleged that Respondent(s) Dennis Powell, Lincoln National Life Insurance Co., and MFS Lifetime Mutual Fund failed to inform the Claimant of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Leon Meyers, Claimants vs. Shearson Lehman Hutton, Inc., Respondent Case 188-03523 Award CASE SUMMARY Claimant alleges that Respondent ignored his specific instructions and put 10,000 shares of Farmers' Group, Inc. into his account pursuant to put options which Claimant alleges were back-timed or backdated. As a result of Respondent's action, Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) David Nadel. ) Claimant, ) ) Case #88-03521 vs. ) Award James J. Duane & Co., Inc.. ) Respondent. ) CASE SUMMARY This claim was filed with the NASD, Inc. on November 10, 1988. The hearing was conducted in Tampa, Florida on September 22, 1989 with a total of 1 sesison. Claimant, David Nadel ("Nadel") alleged that Respondent, James J. Duane & Co

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant David E. Mattina Case No, 99-02520 Names of Respondents Gates Carter Levi, Inc. Joel M. Levi REPRESENTATION OF PARTIES For Claimant: Earl S. Eichin, Jr., Esq. of Lemle & Kelleher, New Orleans, LA. For Respondents: Dempsey M, Levy, Esq., Ocean Springs, MS, CASE INFORMATION Statement of Claim filed on or about: June 1, 1999, Claimant signed the Un

Arbitration N.A.S.D. AWARD w .. . . National Association of Securities Dealers. Inc. Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS Three First National Plaza Chicago, II 60602 (312) 899-4440 In the Matter of the Arbitration Between Name of C!laimant(s) JAMES R. TSCHIDA 88-03518 f Resondent f si PIPER, JAFFRAY & HDPWOOD, INC. AND JOHN STASSEN CASE SUMMARY In a claim filed by Claimant Jones R. Tschida on or

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sophia Hauserman Claimant vs. Shearson Lehman Mutton, Inc. John Watson Respondents CASE #88-03517 AWARD CASE SUMMARY Claimant Sophia Hauserman (hereinafter "Claimant) alleged that Respondent John Watson (hereinafter "Watson") placed her account into unsuitable investments, that Watson churned Claimant's account, that Respondent Shearson Lehman

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) KENT R. & LAURIE C. VEINER, ) Claimants, ) vs. ) Case #88-03512 ) Awa rd BLINDER ROBINSON & CO., INC., ) ROGER GOLDBERG AND FRED HUNT, ) Respondents. ) Heard before the member of the Arbitration Panel: Arieh Leo Douer CASE SUMMARY This claim was filed with the NASD. Inc. on November 10, 1988. The hearing was conducted in Fort Lauderdal

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD 188-03510 In the Matter of the Arbitration Between Ronald & Mi Hi cent Asadoorian Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Thomas H. Magid Respondents Case Summary Claimants contend that an order placed on October 20, 1987 was not executed as requested. Claimants also argued that the executed order was unsuitable and should not have been processed. Respondents contend