NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Edward and Rose Shellek Claimant and A W A R D Prudential-Bache Securities, Inc. and 87-02321 Oavid Suescher & Laura Sedlak Respondents CASE SUMMARY Edward and Rose Shellek ("Claimants") alleges that Prudential-Bache Securities, David Buescher and Laura Sedlak ("Respondents") overcharged the Claimants when their investment in Cha

Region JLi. Year ?Q NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between JERREL 0. OLIVER and Claimant U.S.A. SECURITIES, INC., BILL LUNDBERG AND MARTY ALLRED Respondents CASE NO. 87-02310 CASE SUMMARY Jerrel D. Oliver ("Claimant") alleged that U.S.A. Securities, Inc., Bill Lundberg, and Marty Allred ("Respondents") made misrepresentations to the Claimant which induced the Claimant to make

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louis Montesi vs. Claimant ) - ) Case #87-02297 Award Dean Witter Reynolds, 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 October 30, 1987 and March 11, 1988, r

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dr. Alexander Stein Claimant vs. ) AWARD Wedbush Noble Cooke, Inc. and Respondents ) CASE NO. 87-02294 David Swope ) SUMMARY OF ISSUES This case was filed on November 20, 1987. Claimant Dr. Alexander Stein alleges that his investment in a common stock was liquidated without his authorization. On or about January 1987, Claimant purchased 5,000 shares of said

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Otheo 0. Williams, Claimant, vs. First Jersey Securities, Inc., Robert E. Brennan and Peter Smith, Respondents. Case 187-02293 Award CASE SUMMARY Claimant, Otheo D. Williams ("Williams") alleged that Respondents, First Jersey Securities, Inc. ("First Jersey"), Robert Brennan ("Brennan") and Peter Smith ("Smith") induced Claimant into purchasing

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ronald J. Anson vs. Claimant Stuart James Company,Inc. Respondent AWARD #87-02275 The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in a submission to Arbitration signed by the Parties on November 17, 1987 and February 16, 1988, respectively;

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between JOHN WIND, Claimant, vs . J. W. CHARLES SECURITIES. INC., f/k/a J. W. CHARLES BUSH SECURITIES, INC., and JOHN ALLEN, Respondents. ) Case #87-02272 ) Award ) ) ) ) ) Heard before the members of the Arbitration Panel: Joseph L. Caruncho, Esq. Arnold Sarrow Steven M. Greenbaum, Esq. CASE SUMMARY This claim was fi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard Hein and Patricia Hein Claimants Case $87-02253 vs. Award Standard Brokerage Services, Inc. Respondent The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimants and Respondent, set forth in submissions to arbitration signed by the parties on November 14, 1987 and Janu

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mark S. Gilbert and Wendy C. Gilbert Claimant(s) vs. 87-02250 New England Discount Brokerage Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Mark S. Gilbert and Wendy C. Gilbert alleged that Respondent(s) New England Discount Brokerage did not execute Claimants' trade in a timely manner. Respondent denies Claimants'

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mary Morton Parsons Claimant vs. Hamilton, Bohner Van Vleck, Inc., John E. Sherman and John R. McKowen, Respondents Case #87-02248 Award CASE SUMMARY Claimant, Mary Morton Parsons, alleges that Respondents sold 335,000 shares of Home Beneficial Corp., some of which were sold without her written authorization, and that Respondents confirmed t