Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kirlin Securities, Inc. (Claimant) vs. Tracy Beth Cohen-McLuckie and GunnAllen Financial, Inc. (Respondents) Case Number: 05-05594 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Kirlin Securities, Inc., hereinafter referred to as "Claimant": Issac M. Zucker, Esq., Law Offices of Isaac M. Zucker,

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between LEO and.NORMA SCHOK, vs. BROWN AND HAWK, INC., KENNETH BROWN. RICHARD PETTERSEN and RICHARD HAWK. Claimants, Respondents. Case #88.01381 SECOND AMENDED AWARD Heard before tht members of th* Arbitration Panel: CASE SUM4A1Y This Award has been amendtd pursuant to a stipulated agreement entered into between the parties. The changes reflected in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between/Among Peter Percent Claimant vs. North American Investment Corporation Michael Risley and John Morrissey Respondents Case #88-01324 Award CASE SUMMARY Claimant Peter Porcelli alleged that Respondent engaged in securities transactions in Claimant's account without the knowledge and consent of the Claimant by "parking stock." Claimant further alle

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) SHEARSON LEHMAN HUTTON, INC. ) ) Claimant } and ) ) CASE NO. 88-01301 DONALD A. EISLER ) ) Respondent ) CASE SUMMARY Shearson Lehman Mutton, Inc. ("Claimant") alleged that Donald A. Eisler ("Respondent") owes the Claimant for the debit balance which exists in the Claimant's account. The debit balance was a result of the liquidatio

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INI'. Fr> thp Matter of the Af bi *" r ^t ! Oil PpT^ee Lir. Stanley bchiff, tsennce bchitf, joraan Schiff, and Or. Stanley Schiff BS Defined Contribution M/P Pension Plan #8M-C1244 Claimants vs. AWARD Beuret and Company, Ltd., Wall Street Clearing Corporation, John Maucere and Barry Bendett Respondent-. CASE SUMMARY '.'Ir-ir.crtts alleged thnt Respcpripr*-. -.:v.-crtecl llvr.r't:' f

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. "'**> < In the Matter of the Arbitration Between ) J. W. CHARLES SECURITIES, INC., ) Claimant, ) ) Case f88-015:J8 vs. ) Award WILLIAM POULSON, ) Respondent. ) Heard before the members of the Arbitration Panel: CASE SUMMARY This claim was filed with the NASD, Inc. on May 12, 1988. The hearing was conducted in Fort Lauderdale, Florida with a total of one session. Claimant, J. W. Cha

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Donna \-\. and Ted C. Simpson Claimants ) and ) A W A R D ) 88-01596 Shearjon Lehman Mutton, Inc. ) Robert C. Behrens ) Respondents ) CASE SUMMARY \ In a claim filed with the NASD on May 17, 1988, Claimants Donn-s M. and Ted C. Simpson ("The Simpsons") alleged that Respondents Shearson Lehman Hutton, Inc. ("Shearson") and Robert C. Behre

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tejeda & Tejeda, Inc., DBA TNT Development and DBA TNT, Inc., a.k.a. T & T, Inc., Claimant v. Morgan Stanley Dean Witter & Co., Respondent Case Number: 99-03348 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: . Philip M. Aidikoff, Esq. Aidikoff&Uhl Beverly Hills, California For Respondent: Lawrence S. Achorn, Esq. Morgan Stanley Dean W

•i*V ,-.. ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of •'rc.it rat ion Between ) ) WALTER KRAMPITZ e: •>'. ) Claimants ) v. ) NASD No. 88-01526 PRUDENTIAL-8ACHE < ECJRITIES, INC. ) Respondent ) CASE SUMMARY Walte' fcrampitz, Paul Krampitz, Helmut Krampitz, Leo and Alice Arndt, and Edwarc < va(npiz (collectively referred to herein as "Claimants") alleged that Pruoential-Bache Securities, Inc. ("Respondent") failed to properly ex

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between META S. AND LORELEI B. BROWN and A. G. EDWARDS & SONS, ROSE VANARSDEL Claimants INC. AND Respondents ) ) ) CASE NO. 88-01494 CASE SUMMARY Meta S. Brown and Lorelei Brown (Meta and Lorelei Brown are collectively referred to herein as "Claimants") alleged as follows: 1. Rose Vanarsdel, a registered representative of A. G. Edwards &