NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lawrence F. Sheridan vs. Claimant Rowe Price Associates, Inc. Respondent AWARD 188-02742 Case Summary Claimant alleges he sold put option contracts on October 20, 1987 at a price of $57.00 not $26.00, based on certain CBOE price reports. Respondent contends that a trade error occurred but that Claimant is entitled to damages on the opening price of Oc

APRO; NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Tardie vs. Claimant AWARD #88-02741 Thomson McKinnon Securities, Inc. Respondent Case Summary Claimant John Tardie alleged that Respondent Thomson McKinnon Securities, Inc. misrepresented and invested Claimant's monies in a Damson Oil and Gas Fund that Claimant alleged was unsuitable for him. Claimant further alleged that Respondent com

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between j ) Robert M. And Jeane M. Shiells Claimants ) ) AWARD VS . } NASD =88-02740 Marc W. Vraciu and } PaineWebber, Inc. ) Respondents ) REPRESENTATION Claimants were represented by J. Thomas Hannan and Jeffrey C. Scharfen of Lovitt & Hannan. Respondents wera represented by Judy Louie of PaineWebber, Inc. SUMMARY OF ISSUES This case w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) ROBERT H. and JAY BAUER and ELIZABETH ) BOLAND Claimants v. ) AWARD NO. 88-02738 J.W. GANT and ASSOCIATES, INC. ) Respondent ) CASE SUMMARY In a claim filed on or about August 29, 1988, Claimants (Robert and Jay Bauer and Elizabeth Boland) alleged that Respondent (J.W. Gant and Associates) misrepresented material facts in connection with the sale of

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) ) CLARENCE E. AND GAIL W. GEIGER, ) Claimants, ) ) Case J88-OZ737 vs . ) Award ) DEAN WITTER REYNOLDS, INC. AND ) LEE GILLOCK. ) Respondents, ) Heard before the members of the Arbitration Panel Jackson L. Morris. Esq. Mr. William R. Paul Ms. Allison Hardage CASE SUMMARY This claim was filed with the NASD, Inc. on August 29, 1988. T

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Andreas David Bothe, Trustee for Claimant ) Santa Fe Insurance Agency Defined ) Benefit Pension Plan ) AWARD ) vs. ) CASE NO. 88-02735 ) Devon Dahl Respondent ) SUWARY OF ISSUES This case was filed on August 29, 1988. Claimant alleged the following: misrepresentation regarding the sale of 20,000 shares of Multiphonic Corporation from Respond

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter Of Arbitration Between ) ) DUANE, MILDRED and CURT SORRELLS ) Claimants ) v. ) NASD NO. 88-02733 EDWARD D. JONES & CO., INC. ) GARY ALEFF ) Respondents ) CASE SUWARY Duane Sorrells, Mildred Sorrel Is and Curt Sorrel Is ("Claimants") alleged that Edward 0. Jones & Co., Gary Aleff and Mark Burnsides ("Respondents") fraudulently misrepresented material information regarding

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between MARILYN C. MONCUS Claimants v. NASD NO. 88-02730 AWARD MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. Respondent On Friday, April 28, 1989, in Nashville, Tennessee, the undersigned arbitrator heard the controversy between the parties as set forth in submissions to arbitration signed on August 24, 1988 by Claimant Marilyn C. Moncus and on November 2

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Claimants ) Case #88-02719 Frank Martorella and Angele Sereing, vs. ) Award Mikal & Co., Inc., Respondent CASE SUMMARY Claimants allege that their broker, a registered representative employed by Respondent, made fraudulent misrepresentations about the price of stocks and provided their with unsuitable investment advice which caused then to suffer

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) VIRGINIA HARRIS ) Claimant ) and ) CASE NO. 88-02714 DEAN WITTER REYNOLDS, INC. AND JAMES TALLEN Respondent CASE SUMMARY In a claim filed with the NASD on August 25, 1988, Claimant, Virginia Harris alleged that she was a naive and unsophisticated investor who was led to believe that Respondents Dean Witter Reynolds, Inc. ("Dean Witter") and James