NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) AWARD John Asher & Ron Colombo Claimant ) CASE #88-03490 vs. ) Andrew Cooper, III Respondent / SUMMARY OF ISSUES This case was filed on November 8, 1988. Claimants allege that while employed as brokers for Dean Witter Reynolds, they were contacted by Respondent who, at that time, was also employed by Dean Witter. Respondent was seeking assistance in soliciting attendees for seminars he c

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Daniel Tuteur Claimant(s) vs. Blinder Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-03480 CASE SUMMARY Claimant Daniel Tuteur alleged that Respondent Blinder Robinson & Company, Inc. mishandled his account. Respondents maintain that they were unable to secure a response. RELIEF REQUESTED Claimant Daniel Tuteur requested dam

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marvin and Maria Braun Claimant(s) vs. Young/ Stovall & Co. Respondent(s) NOTICE OF ARBITRATION AWARD 88-03478 CASE SUMMARY Claimants Marvin and Maria Braun alleged that Respondent Young, Stovall & Co. made misrepresentations with respect to securities they purchased which resulted in a loss. Additionally Marvin and Maria Braun alleged that Young/

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward H. and Jayne C. Adams Claimant(a) vs. 88-03476 J.J.B. Billiard, w.L. Lyons, Inc. and Ed Janeway Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Edward H. and Jayne C. Adams alleged that Respondent(s) J.J.B. Billiard, W.L. Lyons, Inc. and Ed Janeway violated their fiduciary and legal duties under the federal and state secu

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Harold Rosen and Beatrice. Rosen Vs. Claimant(s) NOTICE OF ARBITRATION AWARD 88-03475 DeafT Witter Reynolds and Peter Patterson . f s Respondent(s) CASK SUMMARY Claimant(s) Harold Rosen and Beatrice Rosen alleged that Respondent(B) Dean Witter Reynolds and Peter Patterson incorrectly charged a redemption fee on mutual fund shares s

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) TIMOTHY CLUNE & AMELIA CLUNE, ) Claimants, > vs. ) Case #88-03471 ) Award TEICHBERG LOEB WAXMAN 6 RABINOVITZ. INC.. ) Respondent. ) Heard before the members of the Arbitration Panel: Craig Edward Stein, Esq. Arieh Leo Douer S. Richard Savage CASE SUMMARY This claim was filed with the NASD, Inc. on November 7, 1988. The hearing was conducte

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Harold G. Wiebke Claimant vs. Integrated Resources Equity Corporation Bernard McGee Respondents CASE #88-03468 AWARD CASE SUMMARY Claimant contends Respondents committed unauthorized sales of his stock in Creative Video Applications. Claimant also alternatively contended at the hearing that even if the sale of Creative Video Applications was aut

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eileen Luisi Claimant(s) vs 88-03217 Prudential Bache Securities, Inc. Jeanine Webster, Bryon Wiswell & Floyd Jordan Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Eileen Luisi alleged that Respondents Prudential Bache Securities Inc. Jeanine Webster, Bryon Wiswell & Floyd Jordan wrongfully misrepresented to her the risk invol

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John J. Kapik & Evelyn Kapik Claimant(s) vs. 88-03213 Prudential-Bache, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimants John J. Kapik & Evelyn Kapik alleged that Respondent Prudential-Bache, Inc. did not look after Claimants' best interest in the management of Claimants' mutual fund account with Respondent. Additionally John

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Anil K. Agarwal, Sudha Agarwal and ) Ansar Khan ) Claimants ) and ) AWARD ) CONSOLIDATED ) Case No. 88-03212 Merrill Lynch Pierce Fenner & Smith and ) and 88-03215 John S. Roberts ) Respondent (s) ) CASE SUMMARY Dr. Ansar W. Khan ("Khan"), Dr. Anil Agarwal and Sudha Agarwal ("Agarwals") (collectively referred to herein as "Claimants") alleged