NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stanton Rultenberg Donna Rultenberg Claimants vs. Case #88-01457 Award Merrill Lynch Pierce Fenner and Smith, Inc. Stephen Gansman Respondents On April 25, 1989, the undersigned arbitrator heard the controversy between thejMMTties as set forth in submissions to arbitration signed by Claimants Stanton and ubhna Hultenberg on April 18, 1988 an

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Davie Hyman Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc. Louis A. Telerico Respondents CASE #88-01449 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 5, 1988, Claimant Davie Hyman alleged Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Louis A. Telerico repeatedly advised C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Inwha Chung Claimant vs. Merrill Lynch, Pierce, Fenner 3 Smith, Inc. < < nd Dongwon Sohn Respondents Case #88-01444 AWARD CASE SUMMARY Claimant Inwha Chung alleged that Respondents Merrill Lynch, Pierce, Fenner R Smith, Inc. ("Merrill Lynch") and Dongwon Sohn ("Sohn") engaged in excessive and unauthorized trading in the Claimant's account, made im

NATIONAL ASSOCIATION OF SECURITIES DEALERS, II3C. In the Matter of the Arbitration Between Cowen and Co., Claimant ) Case #88-01440 vs . ) Award ) Majestic Investment Group - Baranishyn and Associates, > Respondent ! On March 30, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submission to arbitration signed by Claimant, Cowen and Co., on April 22, 1988. Respondent, Majestic Investment Group, a Divisi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Claimant In the Matter of the Arbitration Between IDIICO vs. Wall Street Clearing Company Beuret & Company, Ltd. Richard Lee Denis Kelleher Respondents Wall Street Clearing Company vs. Allan Esrine ITI (Glendale), Inc. Third Party Claimant Third Party Respondent CASE #88-01437 AWARD CASE SUMMARY Claimant asserts that as a result of alleged conduct that v

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Elmer & Mary Lou Wehmer Claimant (s_) vs. '- 88-t)1432 Dean Witter Reynolds, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Elmer & MaryLou Wehmer alleged that Respondent Dean Witter Reynolds, Inc. failed to transfer Claimants' funds from stocks to government securities pursuant to an October 14, 1987 order. Respondents maint

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dean Witter Reynolds, Inc., Claimant vs. Daniel J. Farley, Respondent Case 188-01429 Award On April 12, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by the Claimant, Dean Witter Reynolds, Inc., on May 2, 1988. Respondent, David J. Farley, did not execute a Submission Ag

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-03249 Global Capital Securities Corporation, claimant vs. American Crest, Inc., respondent. ATTORNEYS: For Claimant appeared in-house counsel, Russell K. Bean, Esq., Englewood, CO. Respondent did not respond to the Statement of Claim. DATE FILED: June 19, 2001 CASE SUMMARY: Claimant alleged that respondent failed to pay margin calls on the account which resulted in claimant closing the p

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jeffrey -E. Lindenbaum Claimant(s) vs. George Lannirig, Atlantis Security Corp., Frank Smith and Bay View Securities/ Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-01565 CASE SUMMARY Claimant (s) Jeffrey E. Lindenbaum alleged that Respondent(s) George Lanning, Atlantis Security Corp., Frank Smith and Bay View Securities, Inc. failed to exe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Sherry Fallenstein Claimant(s) vs. AWARD ) CASE #88-01562 Prudential-Bache Securities and Randy Brandt Respondent(s) SUMMARY OF ISSUES This case was filed on May 13, 1988. Claimant maintained a margin account with Respondent's Phoenix office. The Claimants associate, Dr. Irwin Lehrhoff, claims that he was told by the Respondent through their employees that Ms. Fallenstein's margin acco