NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Larry & Bonnie R. Yanick, JTWROS Claimants vs. Warren Schreiber Raymond J. Carr Respondents CASE #90-01340 AWARD CASE SUMMARY Larry and Bonnie R. Yanick, in a claim filed with the National Association of Securities Dealers, Inc. on May 10, 1990, alleged that five hundred Remittance Technology Units were purchased for their account without th

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Scott Schaefer, (Claimant) vs. BNP Paribas Securities Corp., (Respondent) Case Number: 01-00661 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Scott Schaefer, hereinafter referred to as "Claimant": Robert M. Bursky, Esq., Wechsler Bursky & Cohen, LLP, New York, NY. Respondent, BNP Paribas Securities Corp., hereinafter referred to as "Respondent": Andrew

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Syed W. & Naseem Akhtar 90-01337 Ijgne of Respondent Charles Schwab & Ccsnporiy, Inc. In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about May 10, 1990, Syed W. Akhtar and Nfisean Akhtar ("Claimants") alleged that they received a confirmation of sale of shares of Microsoft Corporation indicatin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Eetv^en ) ) Name of r.laimantfsl ) ) Dorothea Soskice ) ) ) Case No. 90-01334 ) Name of Respondent (s \ ) ) Smith Barney Harris Upham & Co., Inc. ) Roger Gaeckler ) For Claimant, Dorothea Soskice ("Soskice"): Mark Raymond, Esq. of Tew & Garcia -Pedrosa. For Respondents, Smith Barney, Harris, Upham & Co., Inc. ("Smith Barney"), a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, IN THE MATTER OF THE ARBITRATION BETWEEN ROBERT and CAROLE PETRUCELLI JT/WROS CLAIMANT AWARD 90-01330 MICHAEL LAKE FINANCIAL CLEARING & SERVICES CORP. RESPONDENTS CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 10, 1990 Claimants Robert and Carole Petrucelli JR/WROS alleged an unauthorized trade was executed in their account creating a debit c

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Alan E. Tasoff, M.D. Claimant vs. Joseph Frederick Respondent CASE #90-01327 AWARD CASE SUMMARY Alan E. Tasoff, in a claim filed with the National Association of Securities Dealers r Inc. on May 10, 1990 r alleged that Respondent Joseph Frederick recommended unsuitable investments that were not according to Claimants stated accoun

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Burton J. and Shirley B. Udelson Claimants AWARD vs. Case #90-01325 Prudential-Bache Securities, Inc Respondent Heard by: Stephen E. Crable, . Public Arbitrator REPRESENTATION The Claimants were represented by Susan Anthony, Esq. of the law firm of Leighton & Regnery. The Respondent was represented by Patricia Fitzpatrick, Esq. CASE SUMM

N,A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jtetter of the Arbitration Between Name of Claimant(s) Rudrapatna Govindaraju Case#90-01320 Name of Respondent (a 1 Otra Clearing, Inc. J.F. Lcwe & Co. Inc. Rick Greenstein Kevan Arthur Watkins Castleton Rhodes, Inc. Heard before the Arbitrator: Guy E. (Sandy) Burnett, Jr. CASE SOMMT This claim was filed with the National Association of Securities Dealers, i

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fordham Financial Management, Inc., (Claimant) vs. Vincent Chaz Ficci, (Respondent) Case Number: 01-00660 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Fordham Financial Management, Inc., hereinafter referred to as "Claimant": David A. Schrader, Esq., Schrader & Schoenberg, LLP, New York, NY. (Mr. Schrader was with the law firm of Raice Paykin Krieg & Sch

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Murray Finkelstein Claimant Case #90-01315 vs. Award R.B. Marich, Inc. and Rudy Marich Respondent CASE SUMMARY - Claimant alleged that respondents made misrepresentations concerning "Vanter" stack, i.e that Vanter had a "done deal" through Oppenheimer's raising $100,000,000 via private offering for expansion purposes. Respondents deny the al