NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Valeria A. Lesnsr Pierre F. Lesher (deceased) vs. Claimants Award NASD No. 89-00041 Dean Witter Reynolds, Inc. Stephen R. Connors Respondents SUMMARY OF ISSUES This case was filed on January 10, 1989. Claimant alleged the following: fraud and misrepresentation, breach of fiduciary duty, intentional misrepresentation, negligent misrepresentat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Maria I. Aja, et al., Claimants ) ) vs. ) ) AWARD Morgan Olmstead Kennedy & Gardner ) CASE NO. 89-00040 and Tim Harrington ) Respondents ) ) SUMMARY OP ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 9, 1989. Claimants are twenty-six individuals, various pension plans and c

NATIONAL ASSOCIATION OF SECURITIES DEALERS, ING. In the Matter of the Arbitration Between ) ANN M. KMIT AND DENNIS KMIT ) Claimants ) and ) ) CASE NO. 89-00039 SHEASON LEHMAN MUTTON, INC. AND ) WILLIAM H. STEWART ) ) Respondents ) CASE SUMMARY In a claim filed with the NASD on January 3, 1989 Claimants Ann M. Kmit and Dennis Kmit ("Claimants") a registered representative of Respondent Shearson Lehman Hutton, Inc. ("Shearson") mad

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rick Tortora Claimant(s) vs. Blinder, Robinson & Co., Inc. vs. John Robert Kearns Respondent(s) NOTICE OF ARBITRATION AWARD 89-00036 CASE SUMMARY Claimant(s) Rick Tortora alleged that Respondent(s) Blinder, Robinson & Co., Inc. made unauthorized trades. Respondent(s) maintain that Claimant's losses, if any, were not caused or contributed t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Robert E. and Tommie P. LaBonte ) Claimants ) vs. ) Amended Award ) H.T. Bir, Jack Morley, ) and Robert Ryan Respondents ) CASE NO. 89-00032 CASE SUMMARY This Amended Award is issued pursuant to Sections 1284 and 1286.6 of the California Code of Civil Procedure upon the motion of respondent H.T. Birr. The arbitration hearing in this matter w

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marianne Stolz Ernst Stolz vs. Claimants AWARD #89-00031 Thomson McKinnon Securities, Inc. Respondent Case Summary Claimants Marianne and Ernst Stolz of West Germany alleged that Respondent Thomson McKinnon Securities, Inc. placed them in unsuitable options trading resulting in losses to their account without advising them of the risks involved in

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mitchell Feig, (Claimant) vs. Tasin & Company, Inc., Andrew Bernstein, Robert Rosato, and Alphonse Mekalainas, (Respondents) Case Number: 99-02544 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Mitchell Feig, hereinafter referred to as "Claimant": Robert P. Johnson, Esq., Capetola & Doddato, Esqs., Williston Park, NY. Respondents, Tasin & Company, Inc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ted and Jean Wiechecki Claimant(s) vs. Investors Center, Inc. Tony Stoisich Carl Lombard! Gary Setzer Mark Simon, et al. Respondent(s) NOTICE OF ARBITRATION AWARD 89-00030 The Arbitrator, Gerald Thomas Grady, Jr., selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a s

L.M. Drew & Associates Lance D'Anbrosio Claimant, Sheldon Flateroan: Pro Se Respondent, L.M. Drew & Associates: Pro Se Respondent, Lance D'ftrbrosio: Pro Se NATIONAL ASSOCIATICN OF SECURITIES DEALERS ' NASD 33 Whitehall StrMt In che Matter of the Arbitration Between New vorx. New York 10004 Name of ClaimanCfsl Sheldon Flateman 90-03396 < f   B a i Statement of Claim filed: 11/30/90 Claimant's Siimission Agreenent

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Warren G. and Mildred T. Judge VB, Claimant(s) 88-03641 Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Warren G. and Mildred T. Judge alleged that Respondent (s) Blinder, Robinson & Co., Inc. made misrepresentations with respect to concessions that applied to the Roadmaster trades. Reapondent(