NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. / In the Matter of the Arbitration Between ) Robert T. Walker Claimant ) vs. ) CASE NO. 88-02630 Shearson Lehman Brothers, Inc. Respondents ) and William Zimmer ) SUMMARY OF ISSUES Claimant filed this claim with the NASD on August 18, 1988 and alleged that the increased margin requirement imposed by Respondent on Claimant's position of one April 15 nickel contract constituted a breach of fiduciary

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John W. Campbell, individually and as personal representative of the Estate of Anne Campbell, Claimant vs. Seafirst Investment Services, a division of BA Investment Services, Inc., and Mary Ann Lindsey, Respondents. Case Number: 99-02342 Hearing Site: Seattle, WA REPRESENTATION OF PARTIES Claimant, John W. Campbell, individually and as personal representative of the Estate of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between ) ) GAMBLERS' FIVE ) ) Uaimant J v. ) Case No. 88-02629 ) FIDELITY BROKERAGE SERVICES, INC. ) ) Respondent ) ) CASE SUMMARY Claimant placed a sell order for 5,000 shares of CXR that had experienced a reverse split of one for twenty-five. Respondent actually sold 5,000 shares, therefore creating a short sale in Claimant's account. Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles & Thelma Newman Claimant(s) vs. Shochet Securities Inc. Respondent(s) AWARD 88-02626 The Arbitrator, John W. Jerak, having been 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 August 12, 1988 and September 23, 1988,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Clyde and Delores Rockhold vs. E.F. Hutton & Co., Inc. Claimant(s) Respondent(s) AWARD 88-2616 The Arbitrator, Richard C. Moenning, 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 May 16, 1988 and November 23, 1988 respectiv

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Warren and Patricia M. Dell vs. Prudential-8ache Securities, Inc. Mark Roberts Claimants Respondents CASE 188-02608 AWARD CASE SUMMARY Claimants Warren and Patricia M. Dell allege that Respondents Prudential-Sacim Securities, Inc. and Mark Roberts negligently handled their account. Claimants allege that Respondent Mark Roberts placed them in uns

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between A.G. Edwards & Sons, Inc., Claimant vs. Case #88-02606 (CONSILATED w/ #88-02906) AWARD James T. White, Respondent CASE SUMMARY Claimant, A.G. Edwards & Sons, inc., alleges that Respondent, who traded on margin, authorized the sale of two stocks to meet margin calls and that said sales were unable to cover the margin debit. Claimant further a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael & Sue Bezazian Claimant(a) vs. 88-02604 Quick & Reilly, Inc. Respondent(s) AWARD The Arbitrator, Richard C. Moenning/ 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 July 13, 1988 and November 9, 1988, respectively;

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Margaret W. Spink Claimant ) ) vs. ) CASE NO. 88-02603 Prudential-Bache Securities, Inc. Respondents ) and Donald Haven ) SUWARY OF ISSUES Claimant filed this claim with the NASD on August 16, 1988 and alleged that Respondents breached their fiduciary duty by recommending unsuitable investments in limited partnerships and options transactions, and tha

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Stuart Yontef, ) Claimant ) Case 188-02598 vs. ) Award Individual Securities, Ltd. and ) Sandier Trench & Company, ) Respondents ) CASE SUMMARY Claimant contends that he gave several orders to sell 500 units of Gamdgen, Inc. to his broker, John Janiga, and the Respondents and that they failed to execute his orders. Respondent, Individual Securitie