NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) LOUIS WALTER HERRING and KATHY HERRING, ) Claimants, ) ) Case /88-00533 vs . ) Award ) SHEARSON LEHMAN BROTHERS, INC. and ) LAWRENCE D. MARKMAN, ) Respondents. ) Heard before the members of the Arbitration Panel: Richard A. Freeman, Esq. Clifford P. Hoch, M.D. Andy Fernandez CASE SUMMARY This claim was filed with the NASD, Inc. o

NATIONAL ASSOCIATION OF SECURITIES DEALERS, IMC. in the Matter of the Arbitration Between ) ) Robert M. Clark ) ) Claimant ) and ) A W A R D ) 38-528. Merrill Lynch Pierce Fenner 1 Smith, Inc.; } Carlos Falcon ) Respondents ) On -Friday, May 5, 1989 in Southfield, Michigan, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on February 15, 19

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Karen B. Price Karen B. Price, IRA Names of the Respondents Rollins Financial Counseling, Inc. Joseph R. Rollins Case Number: 01-03193 Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Karen B. Price and Karen B. Price, IRA, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Plantation, Florida. For Rollins Financial Counseling, Inc. ("

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-00956 Anguo Ding, claimant vs. Pyramid Financial Corporation and Wyse Securities, respondents. ATTORNEYS: Claimant appeared Pro Se, Sunnyvale, CA. Respondents appeared through Dave Falk, Compliance Officer, Cupertino, CA. DATE FILED: March 3, 2000 CASE SUMMARY: Claimant alleged that while placing only one trade on respondent's online trading program three duplicate orders were recor

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Case #88-00506 AWARD Helen Kirby Claimant vs. Ignatius Teichberg Respondent CASE SUMMARY Claimant Helen Kirby alleged that Respondent Ignatius Teichberg purchased highly speculative issues in her account that were unsuitable for her financial condition. Claimant also alleged that the Respondent executed unauthorized trades in her account and "coerced" her into entering into a discretio

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Quick a Reilly, Inc. Claimant ) AWARD vs. ) CASE NO. 88-00505 ) Paul Hammer Respondents Donna Hammer SUMMARY OF ISSUES Claimant filed this claim with the National Association of Securities Dealers, Inc. (NASD) on February 17, 1988 against Paul Hammer and Donna Hammer. Claimant requests the purchase price of 100 shares of Alza Corp. less the sales price

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Robert Leach Claimant ) ~$. ) AWARD ) Oppenheimer & Co., Inc., Respondents ) CASE NO. 88-00496 Oppenheimer Capital Corporation, ) Quest for Value Dual Purpose Fund, ) Inc., Arthur K. Ward and Kurt W. ) Dunard ) SUMMARY OF ISSUES This case was filed on February 16, 1988. Claimant alleged: 1) Securities Exchange Act fraud; 2) violation of Sect

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Wedbush Securities, Inc. Claimant(s) vs. 88-00488 Barbara Hederios and Daniel Mederios Respondent(e) NOTICE OF ARBITRATION AWARD CASE SUHHARY Claimant (s) Wedbush Securities, Inc. alleged that Respondents) Barbara Mederios and Daniel Mederios were unjustly enriched because of an error on the part of the Claimant. Respondents) maintain that the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ZBIGNIEW & MARIA SZYMANSKI ) Claimants ) v. ) Case No. 88-00468 ) AWARD EPPLER GUERIN AND TURNER ) AND BRAD B. LYON ) Respondents ) On April 6, 1989 and May 25, 1989 in Houston, Texas, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on January 22, 1988 by Claimants Zbigniew an

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Clifford L. Skinner and Ruth H. Skinner Claimant(s) vs. 88-00467 Great Western Financial Securities, Inc., William Wiener, and Robert Eisner Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Clifford L. Skinner and Ruth H. Skinner alleged that Respondent(s) Great Western Financial Securities, Inc., William Wiener and Rober