NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Marvin and Suzanne Epstein, - vs. Fidelity Brokerage Services, Inc. Between Claimants, r Respondent . X X X X x CASE NO. x 90-02261 X x AWARD x x CASE SUMMARY Claimants, Marvin and Suzanne Epstein ("Claimants"), alleged that the Respondent, Fidelity Brokerage Services, Inc. ("Respondent"}, incorrectly computed the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Milton J. Taylor Claimant vs. First Alliance Securities, Inc. Rick Anders William Lincoln Respondents CASE #90-02260 AWARD QASE SUMMARY Milton J. Taylor, in a claim filed with the National Association of Securities Dealers, Inc. on August 1, 1990, alleged that Respondent Rick Anders, while employed at First Alliance Securities, Inc., fai

V M A C 1"\ NATIONAL ASSOCIASTCN OF SECURITIES DEALERS - - — . - — - : In the Matter of the Arbitration Between Name Qf National Association of SSSJU* Deal ?*», "J 0 ' NASD Financial Center 33 Whitehall Street New York, New York 10004 David W. and Beverly H. Selmeski vs nf 90-02259 Emanuel and Conpany Gary L. Vogt Heard before the members of the Arbitration Panel: Mama David M. Kaplan,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS^ In the Matter of the Arbitration Between j ) Name of Claimant: ( s ) ) ) Theodore Bolotin, Ind. & as Trustee ) Case No. 90-02257 Name of s Shearson Lehman Hutton, Inc. George Rosenberg Alan Gladstone For Claimant, Theodore Bolotin, Individually and as Trustee ("Bolotin"): Russell L. Forkey, Esq. of The Law Offices of Russell L. Forkey. For Respondent, Shearson Lehman

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC CASE #90-02252 AWARD In the Matter,of the Arbitration Between Robert E. Hill Claimant vs. A.G. Edwards & Sons, Inc. Respondent CASE SUMMARY Robert E. Hill, in a claim filed with the National Association of Securities Dealers, Inc. on August 13, 1990, alleged that Respondent's agent, Alan w. Josephson, misrepresented the risk involved in purchas ing zero coupon bonds. He further states t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-02249 AWARD In the Matter of the Arbitration Between Susan DeLott Claimant vs . Prudential-Bache Securities, Inc. Daniel A, Nass John S. Keller Respondents CASE SUMMARY Susan DeLott, in a claim filed with the National Association of Securities Dealers, Inc. on August 14, 1990, alleged that Respondent Daniel Nass misrepresented the conditions of First Executive Corp

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frederick W. Stiefel Claimant vs. CASE #90-03247 AWARD Financial Clearing & Services Corp. Ray Minicucci Respondent CASE SUMMARY Frederick W. Stiefel, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on August 15, 1990, alleged that Respondent Ray Minicucci failed to cancel a purchase of 2,500 shares of Amer

Ajward NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Business Data Professionals Defined Benefit Pension Plan by Klaus Von Schiber, Trustee, (Claimant) vs. Charles Schwab & Co., Inc., (Respondent) Case Number: 00-04842 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Business Data Professionals Defined Benefit Pension Plan by Klaus Von Schiber, Trustee, hereinafter referred to as "Claimant": Brian J. Neville

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Don C. Foster, (Claimant) vs. E*Trade Securities, Inc., (Respondent) Case Number: 00-04839 Hearing Site: Boston, Massachusetts Claimant, Don C. Foster, hereinafter referred to as "Claimant", appeared pro se. Respondent, E*Trade Securities, Inc., hereinafter referred to as "Respondent": David D. Leshner, Esq., Bird, Marella, Boxer & Wolpert, Los Angeles, CA. Statement of Claim

Award NASD Dispute Resolution, Inc. In (he Matter of the Arbitration Between Name of Claimant Bane of America Investment Services, Inc. Names of ^Respondents Nancy Harris Persons Mary Long Denton Wachovia Securities, Inc. Name of Respondent Bane of America tnvestrnent Services, Inc. Case No. 00-0483S In the Matter of the Arbitration Between Names of Claimants Nancy Harris Persons, Mary Long Demon,,: r ,^ Consolida