NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between ) ) HERSCHEL PHELPS, JR. M.O. ) ) Claimant ) v. ) CASE NO. 88-02761 ) AWARD DEAN WITTER REYNOLDS, INC. } Respondent ) On June 7, 1989, in Denver, Colorado, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on August 24, 1988 by Claimant Herschel Phelps, Jr. M.D. on October 18, 1988 b

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) CHARLES W. HIEATT AND ) LYNN HIEATT - ) ) Claimants ) and ) CASE NO. 88-02760 ) K I ODER PEA80DY & COMPANY, INC. ) AND PATRICK STEVEN JAGE ) ) Respondents ) CASE SUMMARY In a claim filed with the NASD on August 30, 1988, Charles W. & Lynn Hieatt ("Claimants") alleged that Kidder Peabpdy & Co. Incorporated and Patrick Steven Jage

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Annette Perri, Claimant vs. Case #88-02759 Award Shearson Lehman Mutton, Inc. and Neil S. Mitchell, Respondents CASE SUMMARY Claimant alleges that his broker had a limited discretionary authority over his account. Claimant further alleges: (1) that the brokerage firm, Shearson Lehman Hutton, Inc., through its registered representatives, Ann

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anna D. Baumann, Claimant vs. Charles Schwab & Co., Respondent Case #88-02756 PRELIMINARY ORDER CASE SUMMARY Claimant alleged that Respondent failed to purchase 400 shares of Robotool Ltd. at $6.00 per share pursuant to her order. Respondent maintains that the lobby representative at Charles Schwab & Co. who received Claimant's check was not aut

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Cheng Yang Claimant vs. AWARD 188-02755 Ralph Seto Alexander Michaels, Inc. Respondent Case Summary Claimant John Cheng Yang (hereinafter "Claimant") asserted that Respondents Ralph Seto (hereinafter "Seto") and Alexander Michaels, Inc. (hereinafter "Alexander Michaels) made material misrepresentations to the Claimant which Induced the Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ^••««MW«< *«ta1»W«*>MM»M>»lB*«B*»ll»»^»W*BBW^BVakWab«»^V^^«»*tM^— ••••••^V^M^M^'t In the Matter of the Arbitration Between ) ) Douglas Salavec, Claimant vs. / ) ) Case #88-02754 ) Award Philips, Appel & Maiden, Inc. and Eric S. Colella, Respondents On May 23, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitratio

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) } GORDON CARL and JEAN M. MUELLER, ) Claimants, ) ) Case J88-02752 vs. ) Award ) W.S. GRIFFITH & CO., INC., ) ROBERT L. KREINZ and ) FINANCIAL GROUP CONSULTING, INC., ) Respondents. ) ) Heard before the members of the Arbitration Panel: Nalton Morrow Bennett, Esq. Allan J. Fedor, Esq. Terry G. Cleaves CASE SUMMARY This clai

NATIONAL ASSOCIATION CF SECURITIES DEALERS, ETC. A W A R D 88-02751 In the Matter of the Arbitration Eetveen ) ) Newhard Cook and Co., Inc. ) ) Claimant ) ) and ) ) Abrahan E. Bell, ' ) ) _ Respondent _ ) CASE SUMMARY In a claim filed on or about August 31, 1988, the Claimant sought to recover the debit balance which had been generated in the Respondent's margin account. The Respondent claimed that

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George A, Mermod vs. Judith Hochberg Claimant Respondent Case #88-02748 ORDER ORDER It appearing that the parties have submitted the controversy between them to arbitration as set forth in Uniform Submission Agreements signed on August 22, 1988 by George A. Mermod ("Claimant") and not signed by Respondent Judith Hochberg as required pursuant to

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Adriane Wilson, Charles Kaup, Suzann Rose, individually and as administrators of the Estate of Dorothy Kaup, Claimant vs. Toluca Pacific Securities Corporation and Richard Smith, Respondents. Case Number: 99-02380 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Adriane Wilson, Charles Kaup, Suzann Rose, individually and as administrators of the Estate o