N.A.S.D. AWARD NATICNAL .ASSOCIATION OF SECURITIES DEALERS In tiie Matter of the Arbitration Between Kevin V. Walden Claimant vs. 88-00020 E.F. Hutton & Company, Inc. (now known as Shearson Lehman Brothers, Inc.) Theodore Crowley and Lae Weiss Respondent Kenan V. Walden was represented by Barry H. Hart, Esq. of Phoenix, Arizona. Shearson Lehman Brothers, Inc, Theodore Crowley and Lea Waiss ware represented by Jesse B. Simpson, Esq. ,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Parvesh Kumar Sahi vs. E.F. Hutton & Co., Inc. and Charles M. Bloom Claimant Respondents Award NASD 188-00012 SUMMARY OF ISSUES This case was filed on January 4, 1988. Claimant alleged misrepresentation and breach of fiduciary duty regarding the commission charge in his purchase of a California Franklin Mutual Fund. He claimed that when he a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Securities Settlement Corp. Whitehall Securities, Inc. vs, Mehesh C. Mittal vs. Peter Gamfay Claimants Respondent Third Party Respondent - CASE #87-02879 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 31, 1987 Claimants Securities Settlement Corp. and Whitehall Securities, In

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Ernest Maresca ) Claimant ) ) Case #87-02878 vs. ) Award ) Annette Marino ) Respondent ) ) CASE SUMMARY Claimant Ernest Maresca alleged tltat Respondent Annette Marion failed to execute a sell order in API stock at $3.25 although Claimant made a verbal and written request for Respondent to sell his stock at that price. Respond- ent m

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JOSEPH and JO ANN MALLAMO SR., ) Claimants, ) ) Case f87-02868 vs. ) Award ) MERRILL LYNCH, PIERCE, FENNER ) b SMITH, INC., ) Respondent. ) ) Heard before the members of the Arbitration Panel: Jerome A. Pivnik, Esq. Sidney M. Dubbin, Esq. Thomas J. Boyle CASE SUMMARY This claim was filed with the NASD, Inc. on December 31. 1987. Th

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Imdad IT. and Nadira Farooqi 93-00945 Names of Respondents Prudential Securities, Inc. Radhakrishnan Ramachandraiyer (a/k/a Krish Raman); Michael Durdil; and, Mark Tabit consolidated with Names of Claimants Abdul Rahman Laldin and Aasia Shamin Abdul Rahman 93-01444 Names of Re

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Imdad U. and Nadira Farooqi 93-00945 Names of Respondents Prudential Securities, Inc. Radhakrishnan Ramachandraiyer (a/k/a Krish Raman); Michael Durdil; and, Mark Tabit consolidated with Names of Claimants Abdul Rahman Laldin and Aasia Shamin Abdul Rahman 93-01444 Names of Res

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Ronald and Erika Mitchell and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Washington Square Securities, Inc. Herbert L. Wingo, Jacquelin A. Moody, and Park Avenue Financial Case Number: 01-02559 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Ronald and Erika Mitchell ("Claimants") were represented by Anthony

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Imdad U. and Nadira Farooqi 93-00945 Names of Respondents Prudential Securities, Inc. Radhakrishnan Ramachandraiyer (a/k/a Krish Raman); Michael Durdil; and, Mark Tabit consolidated with Names of Claimants Abdul Rahman Laldin and Aasia Shamin Abdul Rahman 93-01444 Names of Res

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David Lewis Trust Richard J, Lewis on behalf of Harriet Lewis Gayle Lewis Richard J. Lewis Claimants vs. Merrill Lynch Pierce Fenner & Smith, Inc. Norman Rockoff Respondents CASE fs 87-02870 87-02871 87-02872 87-02873 AWARD CASE SUMMARY Claimants allege that Respondents made unsuitable and unauthorized trades in their