NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) -jLb^rah ^r< ^L Claimant(s) ) vs. ) CASE # -J /J... ' ,'/-» - ( r- 'ki/ \ AWARD OOA/xLtf /"Xi-tX/j LV.O/I^I/JO > ^ > s ri1 -- I «HMI\U / f ' • * ''• I 1 j I ',•':' f , f ~ ( '~ni.uLu >'6/l/"»*f/o ^'-^t.' J.r\'< ~i* .t-ciJ/tyv- J ••7 '^" ) Respondent(s) ) On * • the undersigned arbitrators heard the controversy

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Carl R. L. Brown and Janice L. DeCamp Brown Claimant(s) vs. 88-02577 Bradstreet Capital, Inc. and Steven J. Spande Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(8) Carl R. L. Brown and Janice L. DeCamp Brown alleged that Respondent(s) Bradstreet Capital, Inc. and Steven J. Spande made misrepresentations. Respondent(s) did not

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD Steven Lehrhoff Claimant(s) ) CASE #88-2575 vs. Prudential-Bache Securities Respondent(s) ) and Randy Brandt ) ) SUWARY OF ISSUES This case was filed on August 15, 1988. Claimant alleges that he made a deposit of $6,000.00 to his margin account at Respondent's firm which was never credited properly. Because of said error, Claimants account was sold out. Respondents allege that they n

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eric R. Schilt vs. Claimant(s) D.H. Blair & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-02574 CASE SUMMARY Claimant(s) Eric R. Schilt alleged that Respondent(s) D.H. Blair & Co., Inc. misrepresented material facts as to Claimants investment with Respondent. Respondent(s) denies Claimants' Allegations. RELIEF REQUESTED Claimant (

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF ARBITRATION BETWEEN JOHNNIE AND ARLENE DORICH ) NO. 88-02573 Claimants, ) MOTION TO DISMISS vs. EDWARD 0. JONES & CO. & j JAMES CAPPS ) Respondents. ) The Panel has reviewed the Respondent's Supplement to the Motion to Dismiss and the Claimant's response. The Panel has also reconsidered the oral argument presented to them on May 9, 1989. After careful consideration

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between RDL, Inc. Claimant VS. Smith Barney Harris Upham & Co., Inc. Richard Chandler Respondents AWARD 188-02567 Case Summary This proceeding was commenced by Claimant RDL, Inc. against the Respondents Smith Barney, Karris, Upham & Co., Inc. and Richard Chandler arising from the recommendation by Chandler of an unsuitable investment in the Claimant's acc

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) ) ROBERT H. and GLORIA S. HUDLER, ) Claimants, ) ) Case /88-02563 vs. ) Award ) KIDDER PEABODY & CO. and MYRON ENGERMAN, ) Respondents. ) ) Heard before the members of the Arbitration Panel: Myron Dunay, Esq. Andrew Bartfay Carl J. Hegner CASE SUMMARY This claim was filed with the NASD, Inc. on August 12, 1968. The hearing was

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Thomas 0. and Malinda Kehoe, Claimants vs. Fidelity Brokerage Services, Inc., Respondent Case #88-02556 Award CASE SUMMARY Claimants, Thomas rj. and Melinda W. Kehoe, alleged that Respondent executed their order to purchase 400 contracts for OEX December Index Options at $200.00 improperly. Respondent maintains that it cannot be held responsible

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Harry R. Atkins and Claimants ) Gladys Atkins ) ) vs. ) CASE NO. 88-02554 ) First Affiliated Securities, Inc. Respondents ) SUMMARY OF ISSUES The Claimants filed this claim with the NASD, Inc. on August 12, 1988, and alleged unauthorized trading, unauthorized debit balances, unauthorized trading strategies, e.g., naked calls and debit spreads, u

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ira Burrell vs. Marty Schwartz Shearson Lehman Brothers Claimant Respondents AWARD #88-02551 Case Summary Claimant asserts Respondents placed him in unsuitable margin investments without explaining the risks connected with the investment for the sole purpose of generating commissions. Respondents contend that the risks and rewards of margin tradin