NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among ) Reuben J. Grubb, Claimant I Case #88-02993 Award vs. Equitable Securities of New York, Inc. ) Respondent/ ) Third-Party Claimant vs. Douglas F. Mology, Third-Party Respondent CASE SUMMARY Claimant alleged that Respondent, Equitable Securities of New York, Inc., mishandled his account concerning two limit orders placed by Claimant

- NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Michael Paul Miller ) Claimant } ) Case #88-02989 vs, ) Award Shearson Lehman Hutton, Inc. ) Christopher Mark Kowitski ) Larry McDermott ) Respondents ) CASE SUMMARY Claimant alleges upon Respondents advice and recommendations purchases were made in the Shearson Managed Municipal Investment (SMMI). Further, when liquidating his account, Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between James Lafratta Mark Jozefowski Maureen Harrison Mary Harrison Michael Sullivan Sergio Derojas Mark Marshall Claimants vs. Brooks, Weinger, Robbins & Leeds, Inc. CaroL Martino Respondents CASE'S # 88-02977 88-02978 88-02979 88-02980 88-02981 88-02982 88-02983 CASE SUWARY The Claimants alleged that Respondents f

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ruth Bigby Claimant(s) vs. AWARD 88-02971 PaineWebber, Inc. and Lynn Faust Respondent(s) The Arbitrator, Thomas J. Hawekotte, Esq., selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on September 14, 1988 and February 1, 1989, res

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Victor Marcus Eleanor Marcus Claimants vs. Smith Barney, Harris Upham & Co., Inc. Respondent CASE #88-02968 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 19, 1983 and amendsd on November 10, 1989 Claimants Victor and Eleanor Marcus alleged Respondent, through the account executive hand

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) James E. and Martha G. Sacra ) Claimants ) and PaineWebber, Inc. Don Vogel Respondents A W A R D 88-02964 CASE SUMMARY In a claim filed with the NASD on September 20, 1988, James E. Sacra and Martha G. Sacra ("Claimants") alleged that PaineWebber, Inc. and Don Vogel ("Respondents") breached their fiduciary duty to Claimants,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) William Bennett and ) Virginia Bennett Claimant(s) ) ) AWARD vs. ) CASE NO. 88-02961 Kidder Peabody & Co., Inc., ) Marian Cummings and ) Robert Cummings Respondent(s) ) SUjtlARY OF ISSUES This case was filed on September 20, 1988. Claimant alleged: Negligence and breach of fiduciary duty in the purchase of 15,000 shares of common stock in Counsell

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) J.W. COATS and JANETTE COATS ) Claimants ) v. ) NASD No. 88-02958 SCOTT DUBOIS AND SHEARSON LEHMAN MUTTON ) Respondents ) CASE SUMMARY In the statement of claim filed on or about September 20, 1988 Claimants allege that Respondents: 1) executed trades without authorization; 2) made unsuitable recommendations with regard to Claimants' account; 3) fai

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Henry J. Riston, Jr. and Donna L. Riston vs. Case No. 99-02402 Name of Respondents First Montauk Securities Corp. Daniel Dvorznak REPRESENTATION OF PARTIES Claimants Henry J. Riston, Jr. and Donna L. Riston, hereinafter collectively referred to as "Claimants": Mark M. Dumler, Esq., Parker, Dumler & Kiely, Baltimore, Maryland Respondents First Monta

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JO LANDSTROM ) Claimant ) and ) ) CASE NO. 88-02944 THOMAS BARNES ) ) Respondent ) CASE SUMMARY A. Jo Landstrom ("Claimant") alleged that Thomas Barnes ("Respondent") engaged in the following: 1. Churned the Claimants account: 2. Made unsuitable recommendations to the Claimant regarding index option trading and margin trading; 3. M