NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Jeffrey and Randee Binstock Claimants ) Award ) vs. ) CASE NO. 88-03352 ) Carol Lefcourt ) Lefcourt Financial Group, Inc. Respondents SUMMARY OF ISSUES This claim was filed on October 28, 1988. Claimant alleged: unsuitability, misrepresentation, breach of fiduciary duty and liability under the doctrine of Respondeat Superior with respect to the sale o

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nortna Scott Hay's Claimant vs. J.J.B. Hi 1 Hard. '••*'. L. Lyons. Inc. H. Loweil Wainwright Respondents Award 188-03347 Case Summary Claimant Norma Scott Hays (hereinafter "Claimant") alleged that she gave Respondent H. Lowell Wainwright (hereinafter "Wainwright") her money to invest and that she requested that Respondent J.J.B. Milliard, W.L. Lyons,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) WALTER STAUFFER ) ) Claimant(s) ) and } ) CASE NO. 88-03340 ) B. C. CHRISTOPHER, JOHN COULSON AND ) DUKE EVANS ) Respondent (s) ) CASE SUMMARY Walter Stauffer ("Claimant") alleged as follows: 1. B. C. Christopher, John Coulson, and Duke Evans (collectively referred to herein as "Respondents") in April of 1988 sold most of the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant? s^ Charles & Joyce Sablatura 88-03339 Name of. Respondent (s 1 PaineWebber, Inc. T. David Porter In a claim filed with the National Association of Securities Dealers Inc. ("NASD") on October 27, 1988, Claimants Charles and Joyce Sablatura alleged that Respondent T. David Porter, while acting as an agent of Respondent Paine

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Mohammed and Farzana Rashid Case No. 99-02503 Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Jeffrey Scott Lavner REPRESENTATION OF PARTIES For Mohammed Rashid and Farzana Rashid ("Rashid"), hereinafter collectively referred to as "Claimants": Randall W. Henley Esq., West Palm Beach, Florida. For Merrill Lynch, Pierce, Fenner

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC- In the Matter of Arbitration Between S- Milton Tolz Claimant vs. Shearson Lehman Mutton, Inc. Merrill Lynch Pierce Fenner & Smith, Inc. Respondents CASE #88-03331 AWARD CASE SUMMARY Claimant alleges Respondents failed to properly execute transactions in certain E'^COM South African Bonds. Respondent Merrill Lynch contends that since physical possession of the bonds could not be accompl

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In'the Matter or the Arbitration Between ) ) RICHARD S. NEWTON ) ) Claimant ) and ) ) CASE NO. 88-03329 WILLIAM M. SWAYNE II, LAWRENCE J. ) SYMONOS, BRUCE R. JOLLIFF, UNITED ) INVESTMENT SECURITIES, INC. AND ) SOURCE SECURITIES, INC. ) ) Respondents ) CASE SUMMARY Richard S. Newton ("Claimant") alleged that William M. Swayne, II, Lawrence J. Symonds, L. Bruce Jolliff, U

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Howard E. and Eloise P. Wymer vs. John Michael Sabo Claimant(s) Respondent(s) NOTICE OF ARBITRATION AWARD 88-03328 CASE SUMMARY Claimant Howard E. and Eloise P. Wymer alleged that Respondent John Michael Sabo through deceptive trade practices and through misrepresentation enduced Claimants to purchase shares of stock through Respondent firm. Addit

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) VIOLET UPRIGHT PECK, ) Claimant, ) ) Case 188-03327 vs. ) Award MERRILL LYNCH, PIERCE, FENNER & SMITH. INC.. ) Respondent. ) Heard before the members of the Arbitration Panel: John B. Kelley, Esq. Mr. Harry Polansky Anthony S. Paetro, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on October 26, 1988. The hearing was conducted

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SZCJRITIES DEALERS In the Matter of the Arbitration Between Name of Claimant's ) Sidney Marcus " 88-03325 of Resondent s \ E.F. Hutton, new known as Shearson Lehman Hutton, Inc. Alan M. Vfeiss and Charles Eldanire CASE In a Statement of Claim initially filed with the NASD on or about October 26, 1988 and amended thereafter by a first, second and third amended claim, Claimant Sidney .Marcus, ("Ma