NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) EDWIN RAY MARCO, ) Claimant, ) Case #88-02414 va . ) Award ) STEINBERG & LYMAN, ) Respondents. ) Heard before the members of the Arbitration Panel t Arnold Y. Steinberg, Esq. Leonard E. Pacun Anthony S, Paetro, Esq. CASK SUMMARY This claim vac filed with the NASD, Inc. on August 1, 1988. The hearing was conducted in Fort Lauderdale,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between ) Erma Schrader , ) Claimant ) ) Case #88-02413 vs. ) Award J. Timothy French ) Shearson Lehman Hutton, Inc. } Respondents ) CASE SUMMARY Claimant Erma Schrader alleges that Respondent J. Timothy French misrepresented the safety and yield of her investment. Claimant alleges that the recommendation was unsuitable. Claimant further alleges that Respon

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hinely L. Washington Claimant(s) vs. 88-02410 Merrill Lynch, Pierce, Fenner and Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Hinely L. Washington alleged that Respondent Merrill Lynch, Pierce, Fenner and Smith, Inc. did not pay the correct dividend on select high yield funds. Respondents maintain that the funds y

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Dorothy Zotta, individually and as personal ) representative of the Estate of Albert Zotta ) ) Claimants ) and ) A W A R D ) NASD No. Stifel Nicolaus & Company, Inc. and ) 88-02407 Norbert Krekeler ) Respondents ) ) CASE SUMMARY In a claim filed with the NASD on or about July 27, 1988, Claimant Dorothy Zotta, individually and as t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between JOEL S. GREY, Claimant, vs. TUCKER ANTHONY 6 R. L. DAY. INC. and E. JEROME DEUTSCHER, Respondents Case 188-02405 Award Heard before the members of the Arbitration Panel: Mark Perry, Esq. Mr. Howard Biel Mr. Richard D. Toplin CASE SUMMARY This claim was filed with the NASD, Inc. on July 28, 1988. The hearing was conducted in Fort Laud

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Robert D. D'Amico, ) ) Claimant ) ) Case #88-02486 vs. ) Award Michael B. Lavoie and Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondents On May 9, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant, Robert D. D'Amico, on July 21, 1988 and by R

AWARD SASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Manuel J. Baraban, individually and as Trustee and LoisN. Baraban, individually and as Trustee and 99-02356 Kansas City, Missouri Name of Respondents Fahnestock & Co., Inc. Robert Franklin Anthony REPRESENTATION OF PARTIES Manuel J. Baraban, individually and as Trustee and Lois N. Baraban, individually and as Trustee ("Claimants") were repr

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(s) vs. Timothy and Kelly Stubbs Respondent(s) NOTICE OF ARBITRATION AWARD 88-02485 CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(a) Timothy and Kelly Stubbs failed to pay Claimant for purchase of securities. Respondent(s) maintain that they were in Mexico at the time of the alleged

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In The Matter of The Arbitration B e t w e e n f Helen Georgi Claimant ) Award ) NASD 1*88-02484 vs. ) Merrill Lynch, Pierce, Fenner and Respondents Smith, Inc. and .Kathryn Pancoast SUMMARY OF ISSUES This case was filed on August 8, 1988. Claimant alleges the following: She asked Respondent Pancoast to invest $102,700.00 for her in September 1985 and Pancoast p

N.A.S.D. AWARD NATIONAL ASSOCIATION CF SECURITIES DEALERS In the Matter or the Arbitration Between Don Wolding Claimant and 88-02483 Richard Chancis Shearson Lehman Brothers, Inc. Respondent and Shearson Lehman Hutton Third Party Respondent REPRESENTATION OF PARTIES Claimant Don Wolding was represented by Rebecca A. Erhardt, Esq. of Bourdman, Suhr, Curry & Field, Madison Wisconsin. Respondent Shearson Lehman Brothers, Inc. was re