NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Alvin J. Abrams Claimant vs. Case #88-02938 Smith Barney, Harris, Upham & Co., Inc. Respondent ( s ) Case Suamary Claimant asserts he placed Respondent on October 20 and 21, Respondent contends that failed unforeseeable market conditions, liable for. orders to purchase stock with 1937 which were never executed. executions were tha produc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Judith Drachman vs. Claimant Prudential Bache Securities, Inc. Gary Price Respondents AWARD '88-02931 Case Summary Claimant Judith Drachman alleged that Respondents Prudential Bache Securities, Inc. and Gary Price misrepresented the risks of option trading in her account and churned the amount sustaining trading losses. Respondent Prudential Bache

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) JENELLE D. RASH ID ) Claimant ) and ) ) CASE NO. 88-03049 JAY H. FERTMAN and MELODY HIXON ) Respondent ) CASE SUMMARY Jenelle D. Rashid ("Claimant") alleged that: 1. Jay H. Fertman ("Fertman") and Melody Hixon ("Hixon") made misrepresentations to her regarding the purchase and sales of securities; 2. Hixon sold securities to her as a unr

443 P02 Region Number V" N.A.S.D. AWARD Year 9/ "~" NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between " Name of Claimant (gj^ Elaine A. Graveley 88-03046 Nanie of P Prudential-Bache Securities Inc. Gerald S. Cohn Ihis matter was initiated by a Statement of Claijn filed with the National Association of Securities Dealers, Inc. ("NASD") on September 30, 1988, as amended by the filing of an Amended

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Claimants Award ) NASD* &** Respondents SUMMARY OF ISSUES This case was filed on faiM«toS ' JtA/st of DAMAGES AND RELIEF REQUESTED DAMAGES AND RELIEF AWARDED On v>fct&J ^/ /ft/7 >* V ' • " I the undersigned arbitrators heard the controversy in ^ / sessions; between the parties as set forth in submissions to arbitration signed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Harry Leva Claimant vs. Timothy H. Dowd Christopher D. Bell David W. Appel, Jr. Equitable Securities of New York, Inc. Respondents CASE #88-02928 AWARD CASE SUWARY In a claim filed with the National Association of Securities Dealers, Inc. on September 21, 1988 Claimant Harry Leva alleged Respondents breached their fiduciary duties owed h

FEB 28 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lucinda A. Antrim Matthew G. Cashin vs. Claimants Drexel Burnham Lambert, Inc. Robert G. Mennona Respondents AWARD #88-02921 Case Summary Claimants Lucinda A. Antrim and Matthew G. Cashin (hereinafter the "Claimant") alleged that Respondent Robert G. Mennona (hereinafter "Mennona"}, their registered representative, caused the Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gustav & Ooris Prekopa Claimant-s VS. Merrill Lynch, Pierce, Fenner & Smith, Inc., William H. Zufall & Donald W. Walsh, Jr. Respondents Case #88-02914 AWARD CASE SUMMARY Claimants Gustav & Doris Prekopa alleged Respondents failed to properly execute transactions in Claimants account in accordance with their instructions. Claimants further allege

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cowen & Co. Claimant(s) vs. 88-02908 Robin Foley Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(a) Cowen & Co. alleged that Respondent(s) Robin Foley converted funds not belonging to Foley for her own use. Respondent(s) did not respond. RELIEF REQUESTED Claimant(s) Cowen & Co. requested damages of Ten Thousand Dollars and

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) TED and SUSAN MALKASIAN, ) Claimants, } ) Case #88-02905 vs. ) Award ) FIDELITY BROKERAGE SERVICES. INC. ) and BARBARA GROSS, ) Respondents. ) ) Heard before the members of the Arbitration Panels Steven R. Reininger, Esq. John de Leon, Esq. S. Richard Savage CASE SUMMARY This claim was filed with the NASD, Inc. on September 1