OKAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between r. Rowe Price Investment Services, Inc. Claimant(s) vs. AWARD 89-00261 •feston Lincoln Watkins and lebeckah Gillins Watkins Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Ilaimanr(s) T. Rowe Price Investment Services, Inc. alleged that tespondent (s) Weston Lincoln Watkins and Rebeckah Gillins Watkins jwe Claimant the balance due on a "sweep acc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John David Berryman, M.D. Donna Lorraine Edgins Claimants vs. Kidder Peabody & Co., Inc. Harry Lyle Respondents CASE #89-00260 AHARD Case Summary Claimants allege Respondent failed to sell "Interleuken" stock at a given price of $9.00 while their broker, Respondent Harry Lyle, was on vacation. Respondents contend that the parties had only ag

NATIONAL ASSOCIATION OF SECURITIES DEALERS NOTICE OF ARBITRATION AWARD 89-00259 the Matter of the Arbitration Between Ruth and Meyer Steinberg Claimant(s) vs. Blinder, Robinson & Co., Inc.. Respondent(s) CASE SUMMARY Claimant(s) Ruth and Meyer Steinberg alleged that Respondent(s} Blinder, Robinson & Co., Inc. misrepresented the value of a security on the date it was purchased by Claimant. Respondent(s} point-flin that the securit

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of ".he Arbitration Between Blaise, Maggie and Karen Ann DiMartino Claimant(s) vs. 89-00255 Shearson Lehman Button, Inc., and Timothy M. Poplin Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimants Blaise, Maggie and Karen Ann DiMartino alleged that Respondents Shearson Lehman Mutton, Inc., and Timothy M. Poplin negligently mishandled Claimants account held w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Marion & Cynthia White Claimants ) vs. ) Bateman Eichler, Hill Richards, Inc. and Jack Block i Respondents ) AWARD CASE NO. 89-00254 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 23, 1989. Claimants Marion and Cynthia White allege that Respondent Jack Block, while employ

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Acquisition Management, Inc. Raymond C. Oosky, Clara R. Dosky, Lois E. Dosky, Steven L. Dosky and Douglas A. Dosky Claimants vs. Allied Capital Group, Inc. Respondent vs. Thomas N. Taylor Third Party Respondent AWARD #89-00252 Case Summary The Claimants, Acquisition Management, Inc., Raymond C. Dosky, Clara R. Dosky, Lois E. Dosky,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between| James E. Grant: and Tamah J. Grant JTTEN Claimant(s) vs. 89-00246 Barron Chase Securities, Joseph L. DuRant and Robert T. Kirk Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) James E. Grant and Tamah J. Grant JTTEN alleged that Respondent(s) Barron Chase Securities, Joseph L. DuRant and Robert T. Kirk made unauthorized

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JEROME and SANDRA LIEBERMAN, ) Claimants, ) ) Case #89-00243 vs. ) Award SHOCHET SECURITIES, INC., ) Respondent. ) Heard before the members of the Arbitration Panel: Allan M. Lerner, Esq. Mrs. Camille Besold Mr. Terrence W. Grant CASE SUMMARY This claim was filed with the NASD, Inc. on January 26, 1989. The hearing was conducted in Fort La

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) RICHARD and MARILYN MANDLER, ) Claimants. ) } Case /89-00234 vs. ) Award J.W. GANT 4 ASSOCIATES, INC., ) Respondent. ) Heard before the members of the Arbitration Panel: H. Steven Holtzman, Esq. George S. Coit Jr.. Esq. Mr. Ralph Feith CASE SUMMARY This claim was filed with the NASD, Inc. on January 30, 1989. The hearing was conducted in T

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tharamel Alexander and Mariamma Alexander, (Claimants) vs. First Security Investments, Inc., Federated Securities, Inc., Bear Stearns Securities Corp., and Rauscher, Pierce & Refsnes, Inc. a/k/a R.P.R. Correspondence Clearing, a division of Dain Rauscher, Inc., (Respondents) Case Number: 99-02561 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Tharamel Al