NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) GEORGE i JEAN CUMMINS, TRUSTEES ) Claimants ) ) Case 188-02583 vs. ) Award ) FIRST JERSEY SECURITIES, INC., } ROBERT E. BRENNAN and ) JAMES MAKELY ) Respondents. ) Heard before the members of the Arbitration Panel: Joseph L. Bernstein, Esq. Ms. Virginia Rhyne Mr. Douglas Delanoy Jr. CASE SUMMARY This claim was filed with the

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Among Abraham Kanter Claimant vs. PaineWebber, Inc. Respondent Case #88-02580 Case Summary In the Statement of Claim received by the National Association of Securities Dealers, Inc. on August 15, 1988 Claimant, Abraham Kanter alleged that Respondent, PaineWebber, Inc. fraudulently misrepresented to him the risk involved prior to Claimants purchase of four bonds issue

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In tn? natter of the Arbitration Between ) ) SHIRLEY M. AND JAMES F. KOPET ) ) Claimant(s) ) and ) ) CASE NO. 88-02687 MERRILL LYNCH, PIERCE, FENMER & ) SMITH, INC. ) Respondent (s) ) CASE SUMMARY Shirley M. Kopet and James F. Kopet ("Claimants") alleged that Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") failed to properly execute their limit order for the purchase

M- V < NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of Arbitration Between ELIAS I. FRANSES and NIEN-HHA LINDA WANG Claimants v. NASD NO. 88-02685 ELIYAHUE M. ROUSSOS and EMR ENTERPRISES Respondents ) CASE SUWARY In a claim filed on or about August 23, 1988, the Claimants alleged that the Respondents 1) made unauthorized transactions, 2) induced a stock purchase by guaranteeing the sales price and 3) induced

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Karina Dahmen Claimant ) vs. ) CASE NO. 88-02683 ) Dillon Securities, Inc. Respondent ) SUWARY OF ISSUES Claimant filed this claim with the NASD on August 23, 1988 and alleged that the low-priced gold and mining securities recommended by a broker employed by Respondent were unsuitable and were sold to her in violation of industry practices, and stat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Alan W. Kapilow Claimant ) vs. ) AWARD PaineWebber, Inc., Joel Schwartz Respondents ) CASE NO. 88-02678 and Robert Donate ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on August 23, 1988. Claimant alleged that Respondents recommended unsuitable investments in equity and index options and misrepres

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitrator Between ) ) Robert Shad (Deceased), Claimants ) Molly Shad, and Samantha Shad ) AWARD ) vs. ) CASE NO. 88-02676 ) Dean Witter Reynolds, Inc., Respondents ) Milton Ponitz, and Lee McMahan ) SUMMARY OF ISSUES This case was filed with the NASD, Inc. on August 23, 1988. Claimants alleged that the covered writing option program ("CWOP") promoted by Dean Witte

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) RANDELL BROWNING ) Claimant } and ) _ ) CASE Nd. 88-02672..,,.. - SMITH BARNEY, HARRIS UPHAM & CO., INC. ) Respondent CASE SUMMARY { Randell Browing ("Claimant") alleged that Smith Barney, Harris Upham & Co., Inc. ("Respondent") was negligent in handling his account, made misrepresentations and ommissions regarding his securities it recommende

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eileen & Stephen Weiss Claimant(s) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jeffrey Danzinger Respondent(s) AWARD 88-02672 The Arbitrator, Neill Edward Hannon, 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 partie

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between MARY GAY ASSELIN Claimant and ) ) CASE NO. 88-02670 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC, Respondent CASE SUMMARY Mary Gay Asselin ("Claimant") alleged that Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") misrepresented and failed disclose all of the material facts related to the Franklin U. S. Government Securities Fund. Ad