NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Wilfred E. Calmas, Claimant vs. North American Investment Corp., James Greenbaum and Louis Robo, Respondents Case #88-02900 Award CASE SUMMARY Claimant alleges that the Respondents violated the Securities Exchange Commission Regulations, Massachusetts Blue Sky Laws and Massachusetts General Law Chapter 93A by providing him with inside and fa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) DONALD V. AMD DORIS T. NUEBEL ) Claimants ) and ) ) CASE NO. 88-02887 V.I.P. FINANCIAL CO. AND ) TIMOTHY S. VASKO ) Respondents ) CASE SUMMARY Claimants Donald V. and Doris T. Nuebel (hereinafter the "Claimants") alleged that Respondents V.I.P. Financial Co. (hereinafter "VIP") and Timothy S. Vasko (hereinafter referred as "Vasko") were neglige

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) DEAN WITTER REYNOLDS, INC. ) Claimant ) and ) CASE NO. 88-02884 GORDON FORBES ) Respondent ) ) CASE SUMMARY Dean Witter Reynolds, Inc. ("Claimant") alleged that Gordon Forbes ("Respondent") owes Claimant for an unpaid debit balance in the Claimant account pursuant to the contracts between the parties. Claimant denied the claim and further

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Wallace J. Wolf, Jr., ) ) Claimant ) vs. ) Case #88-02877 ) Award £.F. Mutton & Co., Inc., Respondent On April 24, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by the Claimant on September 9, 1988, and by the Respondent on November 28, 1988. The arbitration panel,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. c In the Matter of the Arbitration Between ) CHARLES A. ROTH ) Claimant ) and ) ) CASE NO. 88-02873 JOSEPH MIYAMOTO, JR. ) EVAN RYAN SECURITIES, INC. AND ) WEDBUSH SECURITIES } ) Respondents ) CASE SUMMARY Charles A. Roth ("Claimant") alleged that Joseph Miyamoto, Jr. and Evan Ryan Securities, Inc. ("Respondents") improperly liquidated Mr. Roth's interest in 7,500 shares of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) John Varnas and Helen Varnas, Claimants ) vs. ) CASE NO. 88-02870 Shearson Lehman Mutton, Inc., ) AWARD Charles Cooper and Stephen Jackson, Respondents ) SUMMARY 0^ ISSUES This claim was filed on September 13, 1988. Claimants ajl.eged thai they invested $100,000 in a Hutton Investment Series (HIS) Government Securities mutual fund on the representation by

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Hatter of the Arbitration Between SANDRA H. GILBERT and FRANK G. WILKINS, JR.. Claimants, vs. POWER SECURITIES. CORP., Case 188-02867 Award Respondent. Heard before the member of the Arbitration Panel: H. Steven Holtzman, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on September 13, 1988. The hearing was conducted in Tampa, Florida on November 16, 1989 with a t

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Chee-Ken Tan, Custodian for Joseph Tan Claimant(s) vs. Harris Brokerage Service, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-02864 CASE SUMMARY Claimant Chee-Ken Tan, Custodian for Joseph Tan alleged that Respondent Harris Brokerage Service, Inc. mishandled Claimants account held with Respondent. Respondent denies Claimant allegation

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Joost A. Gompels Claimant ) Case #88-02856 vs. Award Prudential-Bache Securities, Inc. Respondent On May 10, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Joost A. Gompels on September 6, 1988, and by Respondent Prudential-Bache Securities, Inc. on November 8,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dragan Sternberg Claimant(a) vs. Blinder, Robinson & Co., Inc. Respondent(a) NOTICE OF ARBITRATION AKARD 88-03958 CASE SUMMARY Claimant(s) Dragan Sternberg alleged that Respondent(a) Blinder, Robinson & Co., Inc. caused unrealized (paper) losses in a transaction involving the purchase of 1,000 shares of Camera Enterprises. Respondent(s) maintain t