NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William R. Caruso, Dolores S. Caruso, David Pawlowicz, Oarlene Pawlowicz and Margaret Ruggerio Claimants vs. The Equitable Life Assurance Society of the United States Respondent AWARD 188-03846 CASE SUMMARY Claimants, William R. Caruso, Dolores S. Caruso, David Pawlowicz, Darlene Pawlowicz and Margaret Ruggerio alleged that the Respondent fa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Case 188-03922 AWARD IN THE MATTER OF THE ARBITRATION BETWEEN James P. Sutton and Mary Sutton Claimants vs. Gary Kellman, Elliott Bellen and P.O. Roberts Securities, Inc. Respondents CASE SUWARY This proceeding was commenced initially on December 27, 1990 by Claimants James P. and Mary Sutton ("Suttons") against Gary Kelman ("Kelman"), Elliott Bellen ("Bellen") and F.D. Roberts Securit

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Erhan Tezol Claimant vs. Oppenheimer and Company, Inc. and Windsor I.B.C. Respondents vs. Yucal Akdeniz Third Party Respondent AWARD Case #88-03918 CASE SUMMARY Claimant Erhan Tezol "Tezol" alleges that he opened an account with Respondent Windsor I.B.C. "Windsor", an alleged in-house brokerage unit of co-respondent Oppenheimer and C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Charles De Palma ) Claimant ) ) Case #88-03915 vs. ) ) Award Charles Schwab & Company, Inc. ) Respondent Case Summary Claimant asserts that Respondent failed to execute a stock purchase order at the best available price. He asserts that the stock could have been purchased in Canadian currency in the Canadian Market. Respondent contends

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas A. Sullivan trust for Katie Sullivan vs. PaineWebber, Inc. and James Burk Claimant(s) Respondent(s) NOTICE OF ARBITRATION AWARD 88-03914 CASE SUMMARY Claimant Thomas A. Sullivan trust for Katie Sullivan alleged that Respondents PaineWebber, Inc. and James Burk made an unauthorized transaction. Respondents maintain that Claimant purchase

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George F. Johnson and Ruth A. Johnson Claimant(s) vs. William S. Cozine and Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-03910 CASE SUMMARY Claimant George F. Johnson and Ruth A. Johnson alleged that Respondent William S. Cozine and Prudential-Bache Securities, Inc. misrepresented material facts concerning

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jonathan Wanderstock vs, Timothy P. MacNeill Claimant AWARD Respondent CASE #88-03903 CASE SUMMARY During the period in question, Claimant Jonathan Wanderstock maintained a brokerage account with Smith Barney. Respondent Timothy MacNeill was Mr. Wanderstock's account executive. Claimant alleges that without prior authorization on May 27, 1987, R

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Steven J. Bonifas, (Claimant) vs. Prudential Securities Incorporated and Christopher W. McDonagh (Respondents). Case Number: 99-02414 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Steven J. Bonifas ("Bonifas"): Peter J. Berman, Esq., Peter J. Berman Ltd., Chicago, Illinois. Respondent Prudential Securities Inc. ("Prudential") and Christopher W. McDonagh ("McDonagh"

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dora L. Kachin Claimant(s) vs. 88-03884 Richard Grabowski Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Dora L. Kachin alleged that Respondent Richard Grabowski ignored her instructions for a "risk-free" investment. Respondent maintain that Claimants investment was exposed to "risk" so basic that any investor could be expected to

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jay E- Goldstein and Sharon Goldstein Claimant(s) vs. Greentree Securities Corp, Respondent(s) AWARD 88-02997 The Arbitrator, Thomas J. Hawekotte, Esq., selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the Claimant on November 1, 1988 and n