NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Frances M. Aidman Claimant ) ) Case #88-02179 vs. ) Award ) Shearson Lehman Brothers, Inc. Respondents ) and Todd Pescan ) CASE SUMMARY Claimant Frances M. Aidman brought this claim on July 8, 1988 and alleged that Respondent Todd Pescan failed to advise her of the risk to the principal investment prior to her purchase of $50,000.00 worth of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Carl Kraft Claimant(s) vs. 88-02177 Juliann Johnson & Invest ISFA Corporation Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Carl Kraft alleged that Respondents Juliann Johnson & Invest did not act in a reasonable prudent manner with respect to handling of the Claimant Investment Account. Respondents maintain that the loss suf

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Paul Gross Claimant(s) ) ) vs. ) CASE NO. 88-02171 ) First Affiliated Securities ) and Robert Barnett Respondent(s) ) ) Heard Rpfore the Members of the Arbitration Panel: Robert G. Bailey SUMMARY OF ISSUES The claim was filed July 8, 1988. Claimant alleged that Respondent Barnett recommended that Claimant buy stock in Fuji Electrocell Co

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between MERRILL LYNCH, PIERCE, FENNER SMITH, INC. and JOSEPH A. MANSOUR Claimant (s) Case No. 88-02169 Respondent(s) CASE SUMMARY In a claim filed with the NASD on or about July 7, 1988, Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") alleged that Respondent Joseph A. Mansour ("Mansour") began trading options in his securities account

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD NASD 188-02167 In the Matter of the Arbitration Between John H. and Arline Dawn Peck Claimants vs. Bateman Eichler, Hill Richards, Respondent ) Inc. SUMMARY OF ISSUES This case was filed on July 5, 1988. Claimants alleged that Respondent's employee made unauthorized transactions in Claimants' accounts. They further contended that Respondent failed to adequately supervise and control

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Marlene Starcevic (Claimant) v. Robert S. Rutkowski (Respondent) Case Number: 99-03992 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Marlene Starcevic ("Starcevic") was pro se. Respondent Robert S. Rutkowski ("Rutkowski"): David E. Morgans, Esq., Williams & Montgomery, Ltd., Chicago, Illinois. CASE INFORMATION Statement of Claim filed on or about: August 3

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) BERNARD R. KOEHNE ) Claimant ) and - ) ) CASE NO. 88-02160 SHEARSON/AMERICAN EXPRESS, INC. AND ) RICHARD G. RALPH ) } Respondents CASE SUMMARY In a claim filed with the NASD on or about July 7, 1988, Claimant Bernard R. Koehne ("Claimant") alleged that Respondent Richard G. Ralph ("Ralph") made material misrepresentations in relation to th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Morton Levinstein and Reva Levinstein Claimants vs. Case #88-02159 AWARD Dean Witter Reynolds, Inc. Respondent / On April 24th, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants, Morton Levinstein and Reva Levinstein on October 24th, 1988, and by Respondent, Dea

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anita J. Faul Claimant vs. CASE* 88-02151 Merrill Lynch Pierce Fenner & Smith, Inc. Advest, Inc. Steven J. Shepp Respondents Heard before: Joseph R. Lally, Esq. Public Arbitrator D. Joan Sampieri Public Arbitrator Mary Ann M. Melchiorre, Esq. Industry Arbitrator CASE SUMMARY In a claim filed with the National Association of Securities

NATIONAL ASSOCIATION 01 SECURITIES'DEALERS In the Matter of the Arbitration Between Frank Ittner Claimant vs. #88-02141 A.G. Edwards & Sons, Inc. Respondent Award The undersigned, being the Arbitrator selected to review and determine a matter in controversy between (he above-mentioned Claimant and Respondent, set forth in submissions U> arbitration signed by the parties on June 30, 1988 and August 4, 1988, respeclively; And, having r