NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Maxwell State Bank ) ) Claimants ) and ) A W A R D ) 88-01170 Westcap Government Securities, Inc.; ) Malcolm Brown ) Respondents ) CASE SUMMARY Claimant, Maxwell State Bank ("Maxwell") sought damages from Westcap Government Securities, Inc. ("Westcap") and its' registered representative, Malcolm Brown ("Brown") (Westcap and Brown

NASD DISPUTE RESOLUTION AWARD XASD DISPUTE RESOLUTION. CVC. CASE:01-03187 Ron Sossi, claimant vs. Charles Schwab and Company, respondent. ATTORNEYS: Claimant appeared Pro Se, Los Angefes, CA. For Respondent appeared Richard A. Karoly. E$cj., in-house counsel. San Francisco. CA. DATE FILED: June 15, 2001 CASH SUMMARY: Claimant alleged that respondent purchased stocks without his knowledge or authorization and later liquidated his account without his

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Alberto Perez Cantu vs. Gilbert Castaueda, Peter Gerrity and Merrill, Lynch, Pierce, Fenner & Smith Claimant(s) Respondent (s) / ) AWARD ) CASE #88-01169 SUMMARY OF ISSUES This case was filed on April 12, 1988. Claimant, Alberto Perez Cantu, alleges that Respondent, Merrill Lynch, through its representatives Gilbert Castaneda and Peter Gerrity, caused claimant to suffer damages by

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Drexel Burnham Lambert, Inc. AWARD Claimant 188-01166 vs. David Kleinman and Gladys Kleinman Respondents Case Summary Claimant Drexel Burnham Lambert, Inc. alleged that Respondents David and Gladys Kleinman owed it monies for the debit balance that remained in Respondents' account after the sell of Ragen Corporation. Respondents counterclaimed against the Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. *********************** In the -Matter of the Arbitration Between * * Elizabeth D. Dovydenas * Claimant * * vs. * #88-01165 Dean Witter Reynolds, Inc. James M. Freed Respondents *********************** CASE SUMMARY Claimant Elizabeth D. Dovydenas alleged that Respondents Dean Witter Reynolds, Inc. and James M. Freed managed the Claimant's investment portfolio in an improper, fr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frank Scarnavack Claimant vs. ) ) Case #88-01164 Award Rauscher Pierce Refsnes, Inc. Respondent The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in submissions to arbitration signed by the parties on April 5, 1988 and June 30, 1988 re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David W. Engle Kay C. Engle vs. Kidder Peabody & Co., Inc. Charles W. Chepak Claimants Respondents CASE #88-01160 AWARD CASE SUMMARY Claimants David W. and Kay C. Engle alleged that the conduct of Respondent Charles W. Chepak as a registered representative, agent and employee of Respondent Kidder Peabody & Co., Inc. amounted to willful, want

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Diane W. Harter vs. Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. David A. Gingras Michael A. Ehrlich Respondents AWARD #88-00693 Case Summary Claimant Diane W. Harter (hereinafter "Claimant") alleged that she was fraudulently induced to open an account at Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. (hereinafter "Merrill Lynch").

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Isaak Dore, Stanislaw Frankowski , ) Jesse Goldner, and Judith Cromwell ) ) Claimants ) ) CONSOLIDATED and ) CASE NOS. 88-00631, 88-00632 ) and 88-00633 Blinder, Robinson & Co., Inc. ) and Roland Levi ) ) Respondents ) CASE SUMMARY Jesse Goldner, Judith Cromwell, Isaak Dore, and Stanislaw Frankowski (collectively referred to here

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Isaak Core, Stanislaw Frankowski , } Jesse Goldner, and Judith Cromwell ) Claimants ) ) CONSOLIDATED and ) CASE NOS. 88-00631, 88-00632 ) and 88-00633 Blinder, Robinson & Co., Inc. ) and Roland Levi ) ) Respondents ) CASE SUMMARY Jesse Goldner, Judith Cromwell, Isaak Dore, and Stanislaw Frankowski (collectively referred to herein as