NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) George Schmaus Claimant ) AWARD vs. ) CASE 188-03830 Shearson Lehman Hutton, Inc. ) David Filippini ) Rick Kendall Respondent ) SUMMARY OF ISSUES Claimant alleged Respondent Filippini fraudulently misrepresented to him on October 19, 1987 that a margin call would be made momentarily in his account, causing Claimant to sell 10,000 shares of Anheuser Bu

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Irving & Barbara Toplin Claimant(s) vs. 88-03829 Equities International Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Irving & Barbara Toplin alleged that Respondent Equities International mishandle Claimants stock account by the unauthorized sale of Recognition Technology stock in Claimants account with Respondent. RELIEF RE

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William 0. Jenkins, Jr. Claimant(a) vs. NOTICE OF ARBITRATION AWARD 88-03825 Howard B. Camper Respondent(s) j CASE SUMMARY Claimant(s) William O. Jenkins, Jr. alleged that Respondent(8) Howard B. Camper made unsuitable investments. Respondent(s) maintain that the Claimant met the "net worth" requirements, was provided with a prospectus, and unders

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Alexander Sytman, M.D., Claimants ) Custodian for Danie and Leatrice Sytman Custodian for Daniel Sytman, ) ) vs. ) AWARD ) Shearson Lehman Mutton, Inc., Respondents ) CASE NO. 88-03822 Daniel Burr and Stanley Schill ) SUMMARY OF ISSUES This case was filed on December 19, 1988. Claimants alleged that they invested in the Lord Abbett Mutua

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE *88-0382Q AWARD In the Matter of the Arbitration Between Douglas Schlaeppi Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Paul Anderson Douglas Eayrs Respondent CASE SUMMARY Douglas Schlaeppi, in a claim filed vith the National Association of Securities Dealers, Inc. on December 13, 1988, alleged that Respondents did not execute a stop loss order of ten percent (

Region NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Thomas Quijencio & Elizabeth Quijencio Claimant(s) AWARD CASE 188-03883 vs. Drexel, Burnham Lambert, Inc. Michael Savarese Respondent(s) SUMMARY OF ISSUES This case was filed on December 21, 1988. Claimants Thomas Quijencio and Elizabeth Quijencio opened an account with Respondent Drexel Burnham Lambert, Inc. through its representative Michael Savarese. Claimants allege that

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jeffrey J. Hanz, Claimant Case Number: 99-02419 Vs. Hearing Site: Milwaukee, Wisconsin National Securities Corporation, The Boston Group, Joseph W. Donohue, Robert A. Diminico, Kye Hellmers, Michel Allocca, Kimi Eizo Jingu, John R. Brady, Philip E. Steele, Kevin E. Scannell, Clifford F. Mastricola, Susan Anne Gullery, Bonnie Briggs R

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Carol D. Nalley Claimant vs. AWARD 188-03871 R.B. Marich, Inc. Respondent Case Summary This proceeding was commenced by the Claimant to recover damages from the Respondent arising from on alleged theft from the Claimant by Keith S. Sheldon, a registered representative employed by the Respondent. Claimant's claim was based upon the fact that Sheldon, d

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter cf the Arbitration Between Name of Claimants Harold Harmon Florence Harmon 88-03852 Name of Respondents North American Investment Corp. Edward Kopko Douglas Chaffin North American Investment Holding Corp. REPRESENTATION For Claimants: Richard Slavin, Esq. of the law firm of Cohen and Wolf, P.C. For Respondents: North American Investment Corp., Edward

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Dr. Christopher Lyon, Claimant ) ) AWARD vs. ) CASE NO. 88-03849 Russell Oiehl, Respondent ) SUMMARY OF ISSUES Claimant alleges that he incurred losses in his account with Respondent due to Respondent's unauthorized and excessive trading of options. Claimant also alleges that his intent was to preserve capital and at no time did he indicate to respondent