NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ofthe Arbitration Between Donald C. Schmucker vs. Oppenheimer & Co., Inc. Claimant AWARD Respondent CASE #88-00915 CASE SUMMARY Claimant asserts that Respondent failed to execute orders as instructed. Respondent contends Claimant failed to pay for stock despite due deaand. RELIEF REQUESTED Claimant seeks damages of $25,000.00. Respondent counterclaims for S32.930.00,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between ; ) Esther M. Britton Claimant ) Award ) ) NASD #88-00913 i Merrill Lynch, Pierce, Fenner & Respondents ) Smith, Inc. and Louis A. Santisteven ) ) Heard Before the Arbitration Panel: Margaret Kallman Kathryn J. Toronto Wendell W. Witter SUMMARY OF ISSUES This case was filed on March 21, 1988. Claimant alleged that she had no knowledg

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant 01-03231 Minneapolis, Minnesota Name of Respondents Kirlin Securities, Inc. Douglas Durcanin REPRESENTATION OF PARTIES Russell Campbell ("Claimant") was represented by Daniel D. Hill, Esq., Maple Grove, Minnesota. Kirlin Securities, Inc. ("Respondent Kirlin") and Douglas Durcanin ("Respondent Durcanin") were represented by Paul J. Delmore, Esq.,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nicholas Pascarella Claimant(s) vs. AWARD 88-01063 Gladstone Securities and Barton Berek Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant Nicholas Pascarella alleged that Respondents Gladstone Securities and Barton Berek mishandled the execution of a sell order of 200 shares of Robotool Inc. Stock. Additionally Nicholas Pascarella all

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ALFRED JAMES ZONNEVYLLE. vs. SHEARSON LEHMAN BROTHERS. INC. and ANDREA STEINACKER, Claimant. Respondents. Case 188-01062 Award Heard before the members of the Arbitration Panel: Arthur J. Leibell, Esq. Ms. Virginia Rhyne Mr. Douglas Delanoy Jr. CASE SUMMARY This claim was filed with the NASD, Inc. on April 4, 1988. The hearing was co

N.A.S.D. AHftRD MAITCIWL ASSOCIMTCN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Q Earl Glantz 88-01056 Name of '*' • Equitable Securities of New York, Inc. William Bitsimis James P. Kevany Claimant alleged that Respondents sold 400 shares of caiman stock without: his authorization after he gave limit orders to Respondents. Respondents maintained that market orders were given by the Claimant and not limit order

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between : ) Raymond and Edith Mayer, ' . ) -• Claimant, '-• ) : ) Case /88-01053 vs. * ) Award Raymond, James & Associates and ) Philip H. Muehleck, . ) Respondent. ) Heard before the members of the Arbitration Panel: Mr. Andrew Fellios CASE SUMMARY This claim was filed with the NASD, Inc. on April 4, 1988. The hearing was conducted on July 18, 1989 in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Kidder Peabody & Co., Inc. ) Claimant ) ) Case 188-01047 vs. ) Award Andrew David Newton ) Respondent ) On April 18, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Kidder Peabody & Co., Inc. on March 15, 1988. Respondent Andrew David Newton did not execute a sub

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Orexel Burnham Lambert, Inc., Claimant vs. Universal Rental & Leasing, Respondent Case #88-01044 Award CASE SUMMARY The above-captioned complaint was filed with the NASD, Inc. on March 31, 1988. The Claimant alleged that the Respondent failed to meet margin calls when the value of the securities in Respondent's account declined in October of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. NASD NO. 88-01037 In the Matter of Arbitration Between) DIAKHE E. DARDEN f/k/a DIANNE E. GILBERT ) d/b/a A,T.F. ENTERPRISE Claimants v. R.G. DICKINSON & COMPANY Respondent ) CASE SUMMARY In a claim filed on or about April 25, 1988, the Claimant Dianne E. Darden ("Garden") alleged that in March 1986, Steven Solseth ("Solseth") induced her to invest $20,000.00 in a Treasury Bill through