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Chapter Two Bonds
Chapter Three Mutual Funds
Chapter Four How Important is the Account Form
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account form alleged that Respondents arbitration asserted assessed attorney's fees AWARD Respondents bear their respective bond broker brokerage firm Claimant further alleged Claimant requested damages Claimant the sum closed-end fund commission costs including attorneys DATE AND PLACE Dean Witter Reynolds Dollars and Zero E.F. Hutton Fenner & Smith fiduciary duty hereby is liable Hundred inclusive of interest investment objectives investor jointly and severally limited partnerships load fund Member Firm misrepresentations misrepresented mutual fund NASD negligence October 19 Paine Webber parties pay to Claimant prospectus Prudential Bache Prudential-Bache Securities punitive damages purchase RELIEF REQUESTED Claimant REQUESTED Claimant requested respective costs including Respondent Merrill Lynch Respondent Shearson Lehman Respondents alleged Respondents denied Respondents maintained Respondents requested dismissal sales charge severally liable shares Shearson Lehman Brothers Shearson Lehman Hutton stockbroker Suitability SUMMARY Date filed Thomson McKinnon Securities Thousand Dollars unauthorized trades unit trust unsuitable investments York NOTE Zero Cents