NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the THERESA KASIANOV and JOHN G. KINNARD i CO PHILLIP G. SMITH Arbitration Between Claimant(s) ., INC. AND Respondent (s) ) ) ) ) ) CASE NO. 88-00887 CASE SUMMARY In a claim filed on or about March 17, 1988 the Claimant alleged that the Respondent Smith recommended the purchase of common stocks which were unsuitable for the Claimant. The

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) ) THOMAS 0. DURFEE and ELENA ) M. DEMAS f/k/a DURFEE, ) Claimants, ) ) Case 188-00872 vs. ) Award ) FEDERICO ROA, ALAIN MUGGLER, JOHN GARRETT. ) ERNESTO GONZALEZ, MERRILL LYNCH. PIERCE, ) FENNER & SMITH, INC. and MERRILL LYNCH ) INTERNATIONAL & CO., ) Respondents. ) Heard before the members of the Arbitration Panel: William A. Calvo II

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Castiglione, Individually and as Trustee for Executive Asset Management, Inc. Claimant vs. Shearson Lehman Brothers, Inc. John Fennelly Michael Burns Respondents AWARD #88-00861 Case Summary Claimant alleged that Respondents misrepresented the nature of an investment in a municipal bond fund which was allegedly a stock investment instea

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Robert J. Salerno, ) ) Case #88-00853 Claimant ) vs. ) ) Award ) PaineWebber, Inc., ) Shearson Lehman Brothers, Inc. and } Jack Elf, ) Respondents ) On April 7, 1989 and April 24, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitra- tion signed by the Claimant on Marc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Jay C. and Maureen M. Roberts, ) Claimants ) Case ?88-00850 vs. ) Award Smith Barney, Harris, Upham and Co., Inc., ) and Edward L. Diener, ) Respondents ) CASE SUMMARY Claimants contend that the leveraged trading of treasury bonds in their account, financed through repurchase agreements, entailed excessive and unsuitable activity. Claimants also conte

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration B e t w e e n ) Louise F. Barnes ) ) Claimant(s) ) ) vs. ) CASE #88-00846 ) First Affiliated Securities, Inc. ) AWARD Elly Fischbach ) Respondent(s) ) Heard Before the Arbitration Panel: Harry E. Jennings Jr. Mil lard Skeel Martin 0. Nelson 'Jr. - '., . . - CASE SUMMARY The claim in this matter was filed March

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. Case #88-00845 AWARD In the Matter of the Arbitration Between Fred R. & Loris Gayer Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent CASE SUMMARY Claimants, Fred R. & Loris Gayer alleged that Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. entered into account transactions in their account that were not authorized. Respondent filed a Motion to Dismiss the St

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph Newberger Claimants vs. Invest Q & R Clearing Corp. ISFA Corporation Respondents AWARD #88-00841 Case Summary Claimant contends Respondents failed to process a cancellation of a sell order on October 20, 1987. Claimant contends that he lost the profits he would have made had he sold at a later date. Respondent states the cancel order ar

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03222 First Union Securities, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Chris V. Suarez REPRESENTATION OF PARTIES For First Union Securities, Inc. ("First Union"), hereinafter referred to as "Claimant": John E. MacDonald, Stark & Stark, P.A. S Lawrenceville, New Jersey. For Chris V. Suarez ("Suarez"), hereinafter referred to as "

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Charles Schwab & Co., Inc. Claimant/Counter- ) Respondent } Case #88-00840 ) vs. ) Award ) Sandra and El don Johns Respondents/ ) Counter-Claimants ) ) Heard Before the Arbitration Panel: Joseph J. Aron CASE SUMMARY Claimant alleged that Respondents deposited 4,400 shares of Vast, Inc., a Minnesota corporation, into their Schwab acco