NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Bruce McDonnell vs. PaineWebber , inc . and Sean Hanlon Arbitration Between Claimant Respondents X X X X X X X X X X X CASE NO. 90-01829 AWARD CASE SUMMARY .Claimant, Bruce McDonnell ("McDonnell"), alleged that Respondent Sean Hanlon ("Hanlon"), employed by Respondent PaineWebber, inc. ("PaineWebber"), purchased a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-01828 In the Matter of the Arbitration Between Raffoul Y. and Mary W. Assiiy JTWROS Claimants vs. Shearson Lehman Button, Inc. n/k/a Shearson Lehman Brothers, Inc. and Robert Buschur Respondents CASE SUMMARY Pro Se Claimants Raffoul Y. and Mary W. Assiiy, in a claim filed with the National Association of Securities Dealers, Inc. on June 28, 1990, alleged that Respondent Robert

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gay Klein Claimant vs. Dean Witter Reynolds, Inc, Respondent Case #90-01826 AWARD CASE SUMMARY Gay Klein, Pro Se Claimant, in a claim filed with the National Association of Securities Dealers, Inc. on June 28, 1990, alleged that Respondent Dean Witter Reynolds, Inc. "failed to timely pay an NASD, Inc* arbitration award causing Claimant to be unable

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SBCDRTTIES DEALERS In the Matter of tbe Arbitration Between o£ William A. and Elsie Sanchez vs. 90-01825 Merrill Lynch, Pierce, Fenner & Smith, Inc. Merrill Lynch Futures, Inc. Merrill Lynch Gcomodities, Inc. Michael C. Bayer For Claimants: James Paul Green, Esq. For Respondents: Janes Braden, Esq. Statement of Claim filed: OUne 28, 1990 dainBnt*s Submission Agreement signed en: Jtoe 25, 1990

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-01819 AWARD In the Matter of the Arbitration Between Muriel T. Poss Claimant vs. Dean Witter Reynolds, Inc. Alan Sherman Respondents CASE SUMMARY Muriel T. Poss, in a claim filed with the National Association of Securities Dealers, Inc. on ' June 27 f 1990, alleged that Respondents misrepresented the safety of and the return on her IRA account and invested her reti

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: MENKEN STUDIOS, INC. RETIREMENT TRUST CLAIMANT V. SHEARSON LEHMAN BUTTON, INC. AND JAMES F. BUCKLEY RESPONDENTS AWARD #90-01816 CASE SUMMARY The Statement of Claim was filed with the NASD, Inc. on June 27, 1990. Claimant, Menken Studios, Inc. Retirement Trust, by its Trustee, Howard Menken, alleged that Respondents, Shearson Lehman Butt

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #90^01695 AWARD In the Matter of the Arbitration Between Thomas J. Cahill Claimant vs . Bear, Stearns & Co., Inc. Respondent CASE SUMMARY Thomas J. Cahill, in a claim filed with the National Association of Securities Dealers, Inc. on June 14, 1990, alleged that Respondent Bear, Stearns & Co., Inc. failed to execute his stop-loss orders. Respondent, Bear, Stearns & Co., Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: c: 00-04797 Sybil Peachlum Namfr of fop ppoprmfWt l-Iparirtg So|p- Philadelphia, PA First Capital Brokerage Services, Inc. n/k/a Waypoint Brokerage Services RFPttV.SF.NT A, TION Of? PAT3TTFS Claimant, Sybil Peachlum ("Peachlum"), hereinafter referred to as "Claimant", represented herself at the hearing. Respondent, First Capital Brokerage Services, Inc. n/k/a Waypoint Br

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert L. Pezzati Claimant vs. AWARD Bull & Bear Securities, Inc. Ernst & Co. Respondent * CASE #90-01690 CASE SUMMARY Pro Se Claimant Robert L. Pezzati, in a claim filed with the National Association of Securities Dealers, Inc. on June 14, 1990, alleged that Respondent Ernst & Co. billed him a fifty dollar safe keeping fee without informing

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Tarunkant & Bharati Mithani 90-01689 Ijajne of Respondent Prudential Securities, Inc. For Claimants: Anthony J. Horn, Esq. For Respondent: Kevin B. Hurley, Esq., in-house counsel. CflSE Statement of Claim filed: June 14, 1990. Claimants' Submission Agreement signed: June 12, 1990, Statement of Answer filed by Prudentia