PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Lincoln & Ruth H. Teng Claimants CASE #91-027645 - AWARD Shearson Lehman Brothers, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 4, 1991, Claimants Lincoln & Ruth Teng, who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers, Inc., through its broker, James A

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #91-02765 AWARD In the Matter of the Arbitration Between Leonard M. Schwab Claimant vs. Ross Supnik Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 4, 1991, Claimant Leonard M. Schwab who appeared Pro Se, alleged that Respondent Ross Supnik, financial consultant for Shearaon Lehman Hutton, made inappropriat

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-00806 Walter A. Moede, Jr. Name of the Respondents . , Hearing Site: Chicago, Illinois Web Street Securities, Inc., Johnny Fiscus, and Edward McCarthy REPRESENTATTON OF PARTIES Claimant Walter A. Moede, Jr. ("Moede") was represented by Laurence M. Landsman, Esq. of the firm Block & Landsman located in Chicago, Illinois. Responde

N.A.S.D. AWARD NATIONAL ASSOCTKTICN OF SfcXJJKTlTES DEALERS In the Matter of the Arbitration Between Of Wilraa Witlln Of HASD Arbitration Nb.91-02763 Merrill Lynch, Pierce, Fenner & flnrit-Hj inc. Marlene R, Dietrich For Claimant: Robert Marc WnrHn Esq., Los Angeles, California. For Respondents; Maren Nelson, Esq., Morrison & Foerster, Los Angeles, California. CBSB THPCBMBJICK Statement of 01 aim filed: September 4, 1991 Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PUBLIC Bernard E. McFarland Claimant vs. Smith Barney Harris Upham & Co., Inc." Gary S. Lemer Respondents CASE #91-02762 ANABD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 4, 1991, Claimant Bernard E, McFarland, who appeared Pro Se, alleged that Respondents Smith Barney Harris Upham & C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Richard and Marion Graham Case No. 91-02761 Name of Respondent(s) PaineWebber, Inc. John Weckbaugh REPRESENTATION For Claimants: Richard and Marion Graham ("Grahams"): Howard J. Swibel, Esq. and Stanley M. Lipnick, Esq. of Amstein & Lehr. For Respondents, PaineWebber, Inc ("PW") and John Weckbaugh (Weckbaugh"): Steven M.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Edrie M. Etherton Trust, James M. Etherton, TTEE Claimant vs. CASE #91-02760 AWARD PaineWebber Inc. Ray Johnson Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 4, 1991, Claimant Edrie M. Etherton Trust, James M. Etherton, TTEE who appeared Pro Se, alleged that Respondent Pa

, n N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Janice H. Hadory The Ohio Conpany Cams Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street 91-02750 For Claimant: Janice H. Hbckxcy. For Respondents, Ite Ohio Ccupany and Ttm Cams: James A. Francis, Esq. of Hie Ohio Coqpany. Statement of CTIaiTn filed: Au

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02749 AWARD In the Matter of the Arbitration Between Steven R. Keitel Claimant vs. Olde Discount Corporation Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 3, 1991, Claimant Steven R. Keitel, who appeared Pro Se, alleged that Respondent, Olde Discount Corporation placed an unauthorized order to purchas

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ------ ---- P UBLIC In "he Matter of the Arbitration Between Steven R. Keicel :iaimant vs. CASE #91-2747 AWARD Olde Discount Corp. Respondent CASE STMJARY In a claim filed with the National Association of Securities Dealers, Inc. on September 3, 1991. Claimant Steven R. Keitsi who appeared pro se, alleged that Respondent Clde Discount Corp. charged him 350.00 for terminatin