cs NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, IN THE MATTER OF THE ARBITRATION between SUSAN E. NEIGHBORS Claimant(s) vs. POWER SECURITIES CORP., RON BAJOREK, and DAVE ECKERT Respondents) o, < ?, \ \ AWARD #88-03256 The undersignea oeing the Arbitrator selectea to review and determine a matter in controversy oetween the above-mentioned Claimant's) and Resooncanttsj. set forth in a submission to arbitration si

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant William K. Furlong Case No. 99-02492 Names of Respondents Wheat Fust Securities, Inc. Robert M. Muller Walter R. Anderson REPRESENTATION OF PARTIES For Claimant William K. Furlong: Anthony L Horn, Esq., New York, NY. For Respondents Patricia Furlong Elliott ("Patricia"), Wheat First Securities, Inc. ("Wheat Fust"), Robert M. Muller ("Muller"

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dr. Kam-Cheung TSOI, KA Claimant(s) vs. 88-03254 David L. Jacobs of Mutual Benefit Financial Service Company Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Dr. Kam-Cheung TSOI alleged that Respondent David L. Jacobs of Mutual Benefit Financial Service Company misrepresented the risks and other material facts involved with the inve

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James B. Lee, M.D. Claimant(s) vs. 88-03253 Shearson Lehman Brothers, Inc. and William Carroll Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant James B. Lee, M.D. alleged that Respondents Shearson Lehman Brothers, Inc. and William Carroll misrepresented the tax implications of Claimants investment with Respondent. Respondents ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n 7 Larry Hal lee Claimant ) Award ) NASD #88-03250 vs. ) ) Dean Witter Reynolds Inc. Respondents ) and Timothy Sweeney " ) SUMMARY OF ISSUES Claimant filed the claim on October 18, 1988 and alleged that Respondents made unsuitable recommendations; engaged in fraudulent and bad faith recommendations; failed to exe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Edward R. Dunnigan Claimant Case #88-03247 vs. Pruco Securities Corporation Prudential-Bache Securities, Inc. Eugene C. Jerris Arthur J. Kenney Respondents AWARD CASE SUMMARY Claimant, Edward R. Ounnigan alleged that Respondents, Pruco Securities Corporation, Prudential-Bache Securities, Inc., Eugene C. J.erris and Arthur J. Kenney recom

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George M. Kuzma Claimant vs. Smith Barney Harris Upham & Co., Inc. Bruce Olephant Respondents AWARD #88-03244 Case Summary This proceeding was commenced by the Claimant George M. Kuzma ("Kuzma") to recover damages from the Respondents Smith Barney Harris Upham & Co., Inc. ("Smith Barney") and Bruce Olephant ("Olephant") from losses in Claimant's s

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph A. Halizak Claimant #88-03242 AWARD Claimant vs. Advest, Inc. Steven F. Tripodi Respondents Case Summary Claimant Joseph A. Halizak who maintained a margin account with Respondent Advest, Inc. maintained that Respondents, without prior notification or authorization, seized and sold securities from his account to satisfy margin deficienc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Strauss & Doris J. Strauss Claimants vs. Susan Everett Quick & Reilly, Inc. Respondents AWARD #88-03241 Case Summary Claimants Robert & Doris J. Strauss (hereinafter "Claimants") alleged that on October 20, 1987 that Mr. Strauss placed a limit order at 74 on the QEX December 290 position and that he wrote a check to cover this purchase. Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. =S== =======» ==3==3==3S======S==3Z=S= = =3:= = a= ====== In the Matter of Arbitration Between Mary Beth Pappas Claimant vs. CASE #88-03234 AWARD Stan Aslanian L.F. Rothschild & Co. Respondents vs . Robert Fairbrother Third-party Respondent CASE SUWARY Claimant, Mary Beth Pappas, alleges that on October 6 and 7, 1987 she instructed respondents to liquidate h