NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between BARRY G. HUNNEWELL, ) Claimant ) and ) ) CASE NO. 88-03748 SMITH BARNEY HARRIS UPHAM & CO., INC. ) AND LAWRENCE J. CANAVAN, Respondents CASE SUMMARY Barry G. Hunnewell ("Claimant") alleges that Smith Barney Harris Upham & Co., Inc. ("Respondent SBHU") and Lawrence J. Canavan ("Respondent Canavan") (sometimes collectively referred to as "Responde

Awara NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Wai Procter Case No. 99-02367 Names of Respondents A,G. Edwards & Sons, Inc. David H. Gilchrist Christopher M. Cole Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Wai Procter ("Procter"), hereinafter referred to as "Claimant": Kenneth D. Haynes, Esq. of Haynes & Haynes, P.C., Birmingham, Alabama. For Respondents A.G. Edward

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James Earl Grace Clairaant(s) vs. 88-03744 Blinder, Robinson & Co., Inc. and Joseph S. Finn Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) James Earl Grace alleged that Respondent(s) Blinder, Robinson & Co., Inc. and Joseph S. Finn failed to execute a requested transaction in Claimant's account. Respondent(s) deny Claimant'

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) DAVID SULLIVAN. ) Claimant, ) ) Case *88-037fc2 vs. ) Award F. B. ROBERTS SECURITIES, INC., PHILIP ) NAPOLITON III and ROBERT HUMPHREY. ) Respondents. ) Heard before the members of the Arbitration Panel: Louise T. Jeroslow, Esq. Michael A. Coco George L. Davis CASE SUMMARY This claim was filed with the NASD. Inc. on December 5, 1988. The h

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Karen and Robert Brilliant IRA Claimant(s) vs. 88-03736 Drexel Burnham Lambert Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Karen and Robert Brilliant IRA alleged that Respondent(s) Drexel Burnham Lambert failed to execute an order at the correct price. Respondent categorically denied any wrongdoing or liability to Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John and Rose Ferrera, Claimants vs. Case #88-03735 Award Prudential-Bache Securities, and Richard Sarro, ) Respondents ) ) CASE SUMMARY Claimants allege that Respondents without authorization liquidated their portfolio which was transferred from another brokerage firm, purchased new positions, and placed them on margin. Claimants furthe

N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dorothy Schneider Wolosof f Claimant and 88-03731 Individual's Securities, Ltd. and Robert Cataggio Respondents In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about December 5, 1988, Claimant Dorothy Wolosof f Schneider ("Wolosof f") alleged that four unauthorized sale transactions of Boston Ed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Connie Hickman Claimant and Blinder Robinson & Co., Inc. and David Mundy Respondents A W A R D ) 88-240Z ) CASE SUMMARY In a claim filed with the NASD on July 27, 1988, Claimant Connie Hickman ("Hickman") alleged that Respondents Blinder Robinson and Co., Inc. ("Blinder Robinson") and David Mundy ("Mundy") made unauthoriz

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Nuray Tambi Hunal and Fatima Tambi Claimants vs. Blinder, Robinson & Co., Inc. and Louis Salierno Respondents AWARD #88-02399 CASE SUMMARY Claimants alleged that the broker Louis Salierno solicited the purchase of 100 Telestar Satellite Corporation of America Revenue Participation Bonds worth $10,000.00. Claimants further alleged that thp broker

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Albert Cooperman Claimant vs. Wedbush Securities, Inc. Respondent Case 188-02397 AWARD CASE SUMMARY Claimant asserts an order transaction was not appropriately handled. Respondent asserts account was handled properly. RELIEF REQUESTED Claimant seeks unspecified damages. Respondent seeks dismissal of claim. AWARD On February 28, 1990 in o