9003/3/ NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Jack B. Cohen and Claimants ) Betty L. Cohen ) ) vs. ) CASE NO. 88-02064 ) Wedfaush, Noble, Cook, Inc. Respondent ) SUMMARY OF ISSUES In a claim filed with the NASD on June 27, 1988, Claimants alleged that the actions of Respondent in involuntarily liquidating certain securities in Claimants' accounts constituted breach of contract,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) ) GLEN E. AND ELIZABETH ANN HACKER, CICO, LTD. ) Claimants ) AWARD v. ) NO. 88-02061 STIFEL, N1COLAUS & CO., INC. and ) JIM A. TURLEY ) Respondents ) On April 7 and 11, 1989, in Oklahoma City, Oklahoma, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by the Claimants' on June 24, 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Savino & Loretta Preziuso Claimants vs. AWARD #88-02056 Prudential-Bache Securities, Inc. Pruco Securities Corp. Thomas Nicotra Daniel T. Rose Respondents Lewis Grandinetti Prudential Insurance Company of America Case Summary Claimants alleged that Respondents misrepresented investments when advising Claimants to move monies from their IRA acc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Witold Kepka Claimant vs. ) Case 188-02052 Award Rose and Company Investment Brokers, Inc. Respondent The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-Mentioned Claimant and Respondent, set forth in submissions to arbitration signed by the parties on June 9, 1988 and August 19, 1988

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ftr- 01-03289 Gary A. James Respondents H^ari n gJSiig* Dallas, Texas First Union Securities, Inc.; and Robert J. Collins Claimant Gary A. James, hereinafter referred to as "Claimant": E. Steven Watson, Esq., Attorney at Law, Carrollton, Texas. Respondents First Union Securities, Inc. ("First Union") and Robert J. Collins ("Collins"), hereinafter referred to as "Responde

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Nestor and Wilhelmina Camina Kamalinee V. Deshpande Case No. 00-00986 "Matnp. nf RpgnnnHpntg Wheat First Securities, Inc. (n/k/a First Union Securities, Inc.) David C. Holdsworth Hearing Stta; Washington, D.C. RffPPITSFNTATTON OF PAPTTFS Claimants, Nestor and Wilhelmina Camina ("Caminas") and Kamalinee V. Deshpande ("Deshpande "), hereinafter referred to as "Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between ) DANIEL W. SOBIERAY ) Claimant ) v. ) CASE NO. 88-02036 PAINEWEBBER, INC. ) ) Respondent ) CASE SUMMARY Claimant Daniel W. Sobieray ("Sobieray") alleged that the Respondent PaineWebber, Inc. ("PaineWebber") engage in unauthorized trading of Claimants account in a series of transactions in June through September 1985. In addition to unauthorized trading, t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD Christopher K. Chung Claimants and Scarlet S. Chung ) ) CASE #88-02032 vs. Merrill, Lynch, Pierce, Fenner & Smith Respondents and Richard J. Radigan SUMMARY OF ISSUES This case was filed on July 5, 1988. claimants opened an investment account with Respondent on or about June, 1986. Claimants allege that they informed Respondents that the funds were earmarked for their retirement

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jonathan Lumb Claimant(a) vs. Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-02030 CASE SUMMARY Claimant Jonathan Lumb alleged that Respondent Blinder, Robinson & Co., Inc. made misrepresentations with respect to an investment. Respondent failed to respond to the claim within the time mandated by the NASD'a Code of Arbi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dr. Samuel Meyer Claimant * North American Investment Corporation and Jordon Nolan Respondents Case #88-02026 AWARD CASE SUMMARY Claimant alleged that Respondents executed an unauthorized regular short sale of shares of common stock on or about February 23, 1987 contrary to Claimant's instructions to execute a "short sale against the box". The C