NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Herbert H. Oebleis Claimant vs. Andrew Peck Associates, Inc. Respondent AWARD #88-03957 CASE SUMMARY Claimant Herbert H. Oebleis alleged that Respondent Andrew Peck Associates, Inc. transferred his accounts to their firm and subsequently, sold all of his shares and charged excessive commission fees to him. After comparing Respondent's published

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George Billmeyer Claimant vs. Shearson Lehman Hutton, Inc. George Dunn Respondents CASE *88-03955 AWARD CASE SUMMARY Claimant George Billmeyer alleged that Respondent George Dunn engaged in excessive trading in Claimant's account for purposes that benefited Respondent George Dunn and/or Respondent Shearson Lehman Hutton, Inc. Claimant further al

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-02388 James Reid, claimant vs. Citibank Retirement Plan Services and Citicorp Financial Services n/k/a Citicorp Investment Services, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Brooklyn, NY. For Respondent Citicorp Investment Services, Inc., appeared Marc Frimet, Vice President and Associate General Counsel, Long Island City, NY. Respondent Citibank Retirement Plan Serv

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Ronald Salomon Case No. 00-01005 "NJamp pf ]?^«gpfvnH^ntS Scott D. Harris Victor M. Wang Hearing Site: Pittsburgh, PA Claimant, Ronald Salomon, hereinafter referred to as "Claimant": Robert M. Kramer, Esq., Attorney at Law, Pittsburgh, PA. Respondent, Scott D. Harris ("Harris") represented himself at the hearing. Respondent, Victor M. Wang, did not appear at the

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Summit Financial Services Group, Inc., (Claimant) vs. Merrill Lynch, Pierce, Fenner, & Smith, Inc., Deena Kobrin, Daniel Shainheit, and Terry Axel, (Respondents) Case Number: 00-00110 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Summit Financial Services Group, Inc. ("Summit"), hereinafter referred to as "Claimant" : Richard F. Collier, Esq. , and Chris

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles F. Washington Claimant(s) vs. AWARD 88-03954 Larry Weil Respondent(s) The Arbitrator, Lucia Edwards, 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 parties on December 20, 1988 and February 28, 1989, respectively; And, tha

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Frederick A. and Patricia A. Kilbourn vs. Claimant(s) AWARD 88-03950 A.G. Edwards & Sons, Inc. and Randall J. Kiessel Respondents) { The Arbitrator, George R. Freund, 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 parties on Decem

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marc Levin Claimant ) vs. ) CASE NO. 88-03948 Charles Schwab & Co., Inc. Respondent ) SUWARY OF ISSUES Claimant filed this claim with the NASD on December 28, 1988 and alleged that Respondent improperly cancelled trades in his account after providing verbal confirmation of execution. Specifically, Claimant alleged that on December 28, 1987 he placed a serie

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Case 188-03944 AWARD IN THE MATTER OF THE ARBITRATION BETWEEN Martin A. Drop Claimant vs. Prudential-Bache Securities, Inc. and David Terpoilli Respondents CASE SUWARY Claimant Martin D. Drop ("Drop") alleged that he entered into a broker- client relationship with Respondent David Terpoilli ("Terpoilli") at Dean Witter Reynolds, Inc. ("Dean Witter"). Claimant alleged that Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jacquelyn Reinach Claimant vs. Margaretten Securities Corporation Ellen Margaretten Burton Blank Respondents AWARD #88-03943 Case Summary Claimant Jacquelyn Reinach alleged that Respondents exposed her to great risks by executing unsuitable options trades in her account. Claimant further alleged that the investments made by the Respondents includi