NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Arnold Huttner and Marion Huttner, ) Claimants ) Case *88-0?306 vs. ) Award Shearson Lehman Mutton, Inc., ) Respondent ) CASE SUMMARY Claimants allege that they sustained damages as a result of the following breaches committed by Respondent: 1. On October 19, 1987, Respondent failed to promptly execute Claimants' sell orders of 2000 units of OEX Janua

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sam Benson - Trustee vs. Dean Witter Reynolds, Inc. Claimant Respondent AWARD ) CASE #88-03304 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers (NASD) on October 25, 1988. Claimant alleged that his brokers, employed by Respondent, failed to disclose that his investments in two limited partnerships were il

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Umberto & Arnrida DiSabatino Claimants vs. ISFA Corporation d/b/a Invest and Mary Randolph Respondents Case * 88-03302 AWARD CASE SUMMARY Claimants Umberto and Armida DiSabatino alleged that the Respondents entered them into investments that were unsuitable for their needs and made misleading and false statements to the Claimants. Respondents ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Christine Remsen Claimant ) ) ) AWARD ) CASE #88-03298 vs. ) Emillia Kato, Private Ledger Financial Respondents ) Services, Inc. and Associated Planners ) Securities Corporation ) SUMMARY OF ISSUES This case was filed on October 24, 1988. Claimant Christine Remsen alleges that the Respondents Emilia Kato, Private Ledger Financial Services, Inc. and Associated Planners Secur

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marlin Dillman, Jr. Claimant vs. AWARD #88-03295 Shearson Lehman Brothers, Inc. (n.k.a. Shearson Lehman Mutton, Inc.) Gary Rosenthal Respondents Case Summary Claimant Marlin Dillman, Jr. (hereinafter "Claimant") alleged that his stockbroker Respondent Gary Rosenthal (hereinafter "Rosenthal") made misrepresentation and guarantees to the Claimant wh

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between The Reserve Fund Claimant(s) vs. 88-03291 Larry Huddleston Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) The Reserve Fund alleged that Respondent(s) Larry Huddleston failed to repay redemption. Respondent(s) did not respond. RELIEF REQUESTED Claimant (s) The Reserve Fund requested damages of Two Thousand One Hundred Fo

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hal Caughell and Harold Caughell Claimant(s) vs. Power Securities and Ron Bajorek, Manager Respondent(s) NOTICE OF ARBITRATION AWARD 88-03288 CASE SUMMARY Claimant(s) Hal Caughell and Harold Caughell alleged that Respondent ( s ) Power Securities & Ron Bajorek, Manager made misrepresentations, sold unregistered stock and failed to execute

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Howard J. Finn Claimant ) ) vs. ) CASE NO. 88-03284 Pacific Securities, Inc., Respondents ) Robert C. Brown & Co., Inc., ) Philip Smith, ) Robert C- Brown ) SUMMARY OF ISSUES This case was filed on October 24, 1988. Claimant alleged Respondents churned his account, fraudulently invested his funds in unsuitable common stocks, made unauthorized tran

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Eugene F. Sal ton and Virginia M. Salton, Claimants vs. Case 188-03282 Award Wheat First Securities, Inc., Brantley Parker and Sheldon Rueben, Respondents CASE SUMMARY Claimants allege that Respondents violated Rule 405 of the Securities Exchange Commission and Article III, Section 2 of the Rules of Fair Practice. Claimants further alleg

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among ) Robert W. Weiss, ) Claimant } Case #88-03281 vs. ) Award Fidelity Investments and Pershing & Co., Respondents CASE SUMMARY The Claimant filed the above-captioned claim for arbitration on October 21, 1988. In the claim, he alleged that Fidelity Investments failed to execute his order, Good Till Cancelled, to sell Household International Put options a