NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Homer Schulz ) Norma Schulz ) Claimants ) ) Case #88-02139 vs. Award Fidelity Brokerage Services, Inc. ) Respondent ) CASE SUMMARY Claimants Homer and Norma Schulz alleged that they placed an order with Respondent Fidelity Brokerage Services, Inc. to buy stocks on October 21, 1987. Claimants allege that they placed a day, limit order. Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Russell B. Lackey Virgina M. Lackey Claimants vs. Case #88-02134 Award Clark B. Loth Respondent On April 26, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants Russell B. and Virginia M. Lackey on June 24, 1988, and by Respondent Clark B. Loth on November 2,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ringo J. Pauly Claimant(s) vs. 88-02123 Marshall Davis, Inc. and Eric Schiros Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Ringo J. Pauly alleged that Respondent(s) Marshall Davis, Inc. and Eric Schiros forced him to sign a release for partial payment of a debt. Respondent(s) maintain that Claimant was never promised the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George A. Mackey Claimant ) ) Case #88-02119 vs. Award Shearson Lehman Mutton, Inc. Respondent Heard Before the Arbitration Panel: CASE SUMMARY This arbitration was filed on July 1, 1988. On June 27, 1986, Claimant George A. Mackey and his wife Audrey Mackey opened an account with Respondent with an initial deposit of $129,000.00. Claimant alleges t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Gloria Gimma Harrison Executive of the Estate of Francis T. Brooks Claimant vs. PaineWebber, Inc. and John McKay, III Case #88-02114 AWARD i Respondents CASE 5UWARY This proceeding was commenced initially on June 29, 1988 by Claimant Gloria Gimma Harrison ("Harrison") as Executive of the Estate of Francis T. Brooks ("The Estate") against Respondent PaineWebber, Inc. ("PaineWebb

Award . NASD Dispute Resolution In the Matter of the Arbitration Between: Mama of fog f*1 a truant f!fiMt >JiimVipr- 04-02880 Ronald H. Kiaus individually and OD behalf of his IRA. Names of t>it» Pgcpr^miffntq Hftariiw Sitp' Baltimore, Maryland Morgan Stanley DW, Inc. Troy Michael Elser Nature of the Dispute: Customer vs. Member and Associated Person. PARTI Claimant, Ronald H. Kraus individually and on behalf of his IRA, hereinafter referred to

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Daniel Meltzer, Claimant vs. Olde Discount Corporation n/k/a H&R Block Financial Advisors, Inc. and Randal Mudge, Respondents. Case Number: 99-03988 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Daniel Meltzer, (hereinafter referred to as "Claimants"): In Pro Per, 77 Lovell Avenue, Mill Valley, CA 94941. M. Respondents, Olde Discount Corporation n

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf tfia Plarimnnt Hasft "NinrQ-iffl- 05-02531 Ada M. Strausberg "Mtrmcs of the "Respondents Hearing Site! Baltimore, MD Lincoln Financial Advisors Corporation KatrinaRose Nature of the Dispute: Customer vs. Member and Associated Person. PlT.PHff.STr.NTATTON Claimant, Ada M. Strausberg , hereinafter referred to as "Claimant" , was represented by Neil J. Bi

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between RoseMarie Aguanno Claimant vs. Case #88-02110 ORDER Shearson-American Express, Inc. and Mark L. Stahl Respondents ORDER It appearing that the parties have submitted the controversy between them to arbitration as set forth in Uniform Submission Agreements signed on June 28, 1988 by RoseMarie Aguanno ("Claimant") and signed on September 19, 1988

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between GRIFFIN FINANCIAL SERVICES Claimant and ) ) CASE NO. 88-02109 HUGH G. SMITH LUMBER CO. AND HUGH G. SMITH Respondents CASE SUMMARY Griffin Financial Services ("Claimant") alleges that Hugh G. Smith Lumber Co. and Hugh G. Smith (collectively referred to as "Respondents") did not submit sufficient documentation to complete a sale of 100 shares of A