NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Fred till man, Claimant vs. E.F. Hutton & Co., Inc. Bevin Crodian and Stephen O'Antuono, Respondents Case #88-00826 Award CASE SUMMARY Claimant, Fred Ullroan, alleged that Respondents, Bevin Crodian and Stephen O'Antuono, acting as a partnership within E.F. Hutton & Co., Inc., fraudulently induced the Claimant to open a discretionary account w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ricardo D. Alvarado E. Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc. George Taylor Richard Pluta Respondents CASE #88-01005 AWARD CASE SUMMARY Claimant Ricardo D. Alvarado E. alleged Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and George Taylor engaged the Claimant in transactions without first obtaining his authority whic

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Bruce Peterson and Raymond John Mertz Respondent vs. John Bogucz Third-Party Respondent Case *88-01004 AWARD CASE SUMMARY Claimant, PaineWebber, Inc. alleged that Respondents, Bruce Paterson and Raymond John Mertz owed to PaineWebber, Inc. an unsecured debit balance in the Respondents' joint account ari

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between ; / /\ 7s . / /V 'TfrS'sfrn n - un^-b /< />• ft ^Aa*-A(' h •' Claimants/ ^1 1 LA* f S~> s^fr /V»i-W^»^rt nrr«J /V«b " r™ vs. 'er pea6oci« », LO. ^ UG/ ^uce~ Respondents/ v \ r (jXM'< -f tVCf irr\C»S\ ft SUMMARY OF ISSUES This case was filed on ThfUrJt 2Q./9fff< ( i ) ) ) Award j ) ) NASD * < ??- 0/d()« )

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jeff C. Pokrajac Claimant vs. Shearson Lehman Hutton Inc., Dennis V. Todaro, and Gerald Jones Respondent(s) ) Shearson Lehman Hutton, Inc. vs. Jeff C. Pokrajac Counter-Claimant ) Counter-Respondent) AWARD CASE NO. 88-00997 SUWARY OF ISSUES Claimant Jeff C. Pokrajac filed this claim on March 28, 1988 against Shearson Lehman Hutton

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John and Claire Castillo, Claimants vs. Case -88-00993 Award Providence Securities, Inc., Al Kopech and Bear Stearns & Co., Inc., Respondents CASE SUMMARY Claimants, John and Claire Castillo, allege that Respondents negligently handled their order to purchase "two one thousands" of GTECH CORP stock at as close to S21.00 per share as possible

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. ) In the Matter of the Arbitration Between ) Michael A. Kellogg Claimant AWARD vs. CASE NO. 88-00992 Gliksman Securities Corp. and Respondent(s) Harry Gliksman CASE SUWARY Claimant alleged that on October 26, 1987, Respondents sold 67,500 shares of Nortek, Inc. common stock, without Claimant's approval and over his expressed objections, and without other authority. Claimant alleged that

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Joseph Camardese ) Claimant ) ) Case #88-00985 vs. ) Award ) Merrill Lynch Pierce Fenner & Smith, Inc. ) John Argonish ) Respondents ) ) CASE SUMMARY Claimant alleges Respondents made unauthorized transactions of call options in General Motors Corp. and Genentech stock. Respondents maintain transactions were done with Claimants autho

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Charles E. Coles ) Claimant ) ) Case #88-00980 vs. ) Award ) Charles Schwab & Co., Inc. ) Respondent ) CASE SUMMARY Claimant Charles E. Coles alleges that he ordered Respondent Charles Schwab & Co., Inc., to sell 6,000 Stone Container short and later to cover the position by buying 6,000 shares. Claimant further alleges that (I) Respondent's quote

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) ) JOHN CUNNINGHAM, ) Claimant, ) ) Case /88-00979 vs. } Award ) MORGAN-KEEGAN & CO.. INC.. ) KENNETH J. ARENA AND ANDREW RODE, } Respondents. } ) Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Ms. Patricia A. Shub Mr. Terrence W. Grant CASE SUtWARY This claim was filed with the NASD, Inc. on March 25,