NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William Rokopoulos Claimant vs. Michael Apollo Respondent AWARD Case #89-01561 CASE SUMMARY Claimant alleged that Respondent transferred funds from his account on October 16, 1981 and April 28, 1982 to his brother's account to cover margin calls without verbal or written authorization. Respondent contended that the claim was barred by the NASD s

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration James and Dorothy vs . Gershon Tannenbaum Brady Between Claimants Respondent X X X X X X X X X X X CASE NO. 89-01554 AWARD CASE SUMMARY Claimants, James and Dorothy Brady (collectively, "Claimants") alleged that the Respondent, Gershon Tannenbaum ("Tannenbaum"), failed to properly supervise

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) CURT DREW KOSOW, > vs. SMiTH SARNE't, HARRIS UftiAM 4 CO. INC. and BENJAMIN BAUM, Respondents. Case 189-01551 Award Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Harry Polansky Anthony S. Paetro. Esq. CASE SUMMARY This claim was filed with the NASD. Inc. on May 25. 1989. conducted in Fort Lauderdale, F

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) IRVING R. and MILDRED NOVACK, ) Claimants, ) ) Case #89-01547 vs. ) Award COMMVEST SECURITIES, INC.. ) Respondent. ) Heard before the members of the Arbitration Panel: Arnold Y. Steinberg, Esq. Arnold Sarrow Joseph M. Luby CASE SUMMARY This claim was filed with the NASD. Inc. on May 26, 1989. The hearing was conducted in Fort Lauderdale, F

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Willard Saperston, (Claimant) vs. LaSalle Street Securities, Inc. and John McDermott, (Respondents) Case Number: 99-02700 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Willard Saperston, hereinafter referred to as "Claimant": Patrick G. Finegan, Jr., Esq., a sole practitioner, Washington, DC, Respondents, LaSalle Street Securities, Inc. ("LaSalle") an

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Suzanne Clemente, (Claimant) vs. Smith Barney, Inc., Prudential Securities Inc., and Thomas B. Healy, (Respondents) Case Number: 00-01033 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimant, Suzanne Clemente, hereinafter referred to as "Claimant": Richard L. Burstein, Esq., Fernandez, Burstein & Tuczinski, P.C., Albany, NY. Respondent, Smith Barney, Inc. ("SB

Arbitration N.A.S.D. AWARD ., , National Association of Securities Dealers, Inc. . Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS Three First National Plaza Chicago, It. 60602 (312) 899-4440 In the Matter of the Arbitration Between Stuart C. and Sharon S. Spigel 89-01546 of Gary Clifford Smith In a claim filed with the NASD on or about May 26, 1989, Claimants Stuart and Sharon Spigel ("the Spigels") alleged that Respondent

16 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles T. and Geraldine Connors Claimants vs. AWARD #89-01539 First Affiliated Securities, Inc. Respondent Case Summary • Claimants alleged that the Respondent executed unauthorized transactions in their account by purchasing options without their consent that subsequently resulted in losses for them. Claimants further alleged that the Respond

Arbitration N.A.S.D. FINAL ORDER National Association ol " Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS ' ' ?, 3 W ™ 8 £ a " Str t et v New Yorlc, New rone In the Matter of the Arbitration Between Russell S. Burnside Case * vs 89-01538 Name of Respondent First American Capital Resources, inc. D. R. Dwyer & Company Mark Anthony Carl Bitler Joh

MAY 1 7 RECO NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Milan Licul Claimant vs. AWARD #89-01535 Mikal & Co., Inc. Respondent Case Summary Claimant Milan Licul alleged that Respondent Mikal & Co., Inc. fraudulently enticed Claimant to purchase shares of Penn Jersey common stock and misrepresented the stock to him prior to the purchase. Claimant alleged that he later learned upon receipt of