NATIONAL ASSOCIATION QF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Marina Engel Case #89-02168 Claimant AWARD vs. Prudential-Bache Securities, Inc. Alan Sobelman Respondents CASE SUMMARY Claimant Marina Engel alleged that Respondent Alan Sobelman willfully and intentionally recommended to the Claimant and persuaded her to invest ..in unsuitable Limited Partnerships and Public Tax Shelters. Claimant contended

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between J.C. araofora & GJ. et al. 89-02165 Name of R^tEKjiyjqn 1 - ( g ) Ival Goldstein HKMfKHKOTWTT OF PARTIES Claimants were represented by James T. Rltt, Esq., Assistant Counsel for J.C. Bradford, Nashville, Tennessee. Respondent was represented by Marvin Barke, Esq. of Berke, Berke & Berke, Chattanooga, Tennessee. In a claim fi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, I?iC. In ttis Matter of the Arbitration Between/Among Helen uray Wilson Claimant VS. Legg Mason Wood Walker, Inc. Respondent Case 189-02158 Award CASE SUMMARY Claimant, Helen Gray Wilson, alleged that Respondent, Legg Mason Hood Walker, Inc. failed to properly register Claimant's 988 shares of R.J. Reynolds Nabisco, Inc. so that when the "buy out" of R.J.R. Nabisco came about Claimant neith

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert Hooker, (Claimant) vs. Southwest Securities, Inc., SWS Financial Services, and Richard T. Kiesler (Respondents). Case Number: Hearing Site: 99-02750 Houston, Texas REPRESENTATION OF PARTIES Claimant, Robert Hooker hereinafter referred to as "Claimant" was represented by Robert E. Lapin, Esq., Carrigan Lapin & Landa LLP, Houston, Texas. Respondents, Southwest Sec

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph Barberio Claimant vs. AWARD #89-02157 Peter Gattini Respondent Case Summary Claimant Joseph Barberio alleged that Respondent Peter Gattini executed unauthorized transactions of common stock in his account and failed to deliver proceeds from stock that was sold in his account. Respondent Peter Gattini did not file a Statement of Answer to the St

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) RAYMOND S. MARINE, ) Claimant, )Case No 89-2154 ) vs. ) Notice of ) Arbitration YANIS I. VALENS and ) Award BLINDER ROBINSON & CO.. INC., ) Respondents . ) CASE SUMMARY Claimant, Raymond Marine ('Marine"), alleged that Respondents, Blinder Robinson and Co., Inc. ("Blinder"), and Yanis Valens ("Valens"), were liable for fraud, misrepresen

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between , } David Ferrari and ; Richard Ferrari ; Claimants ) ) AWARD vs. ) ) NASD #89-02153 Dean Witter Reynolds, Inc. ) Jack Hanley ) Respondents ) ) SUMMARY OF ISSUES This case was filed with tha National Association of Securities Dealers, Inc. ("NASD") on July 25, 1989. Claimants alleged Respondents breached their fiduciary duty by r

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward N. Livesay Claimant(s) vs. 89-02131 Blinder, Robinson & Co., Inc. and Gregory George Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Edward N. Livesay alleged that Respondent(s) Blinder, Robinson & Co., Inc. and Gregory George misrepresented material facts concerning Claimant's investment with Respondent. Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Manner of the Arbitration Between Donald and Dianne Mathewson Han BBSDQnd Johnston, Lemon & Company Winthrop Securities Company, Inc. Care #89-02127 CASE SUMMARY Claimants, Donald and Dianne Mathewson (hereinafter "Claimants") alleged that Respondents, Johnston, Lenon & Company (hereinafter "Johnston, Lemon") and Winthrop Securities Company, Inc. (hereinafter "Win

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Diane Ranker CASE #89-02118 Name of Rcgrmrytont- / s \ Shearson Lehman Hutton, Inc. Frank E. Cooper III Frank Powers/ Jr. and Donald Law Heard before the members of the Arbitration Panel: George Felos, Esq. Public William G. Kline Public Randall T. Stack Industry Claimant, Diane Ranker ("Ranker"), was represented by William L. Lyman