N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jfctter of the Arbitration Between Name o Mary H. Sullivan 90-00182 A.G. Edwards & Sons, Inc. Richard lannocone Heard before: Name Public/Industry Cornelius j. McAuliffe, Esq. Public Arbitrator Simon J. Tager Public Arbitrator William Aziz Industry Arbitrator Claimant was represented by Marjorie Schaffner, Esq. of Beigel & Sandier, Ltd. in Chicago, Illinois. Respond

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between and Among REUBEN L. AND DONNA L. LYCANS, Claimants, Case No. 90-00170 vs. ADVEST, INC., LAWRENCE CORNA AND BOB FOX, Respondents. AWARD Case Summary Claimants Reuben L. and Donna L. Lycans ("Claimants") alleged that Respondent Lawrence Corna ("Corna") made material misrepresentations to induce them to purchase Putnam High Income Governmen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS : " " *• ' ' ' ••». WC In the Matter of the Arbitration Between Rosenary Mathers & Darlene Amlotte J | __ iL^x 90-00169 :R --""-ATlON-CK!CACG Piper, Jeff ray & Hc^viood, Inc. CASE SUMMARY In a Statement of Claim filed with the NASD on or about January 16, 1990, Rosemary Mathers and Darlene Amlotte (collectively "Claimants") alleged that Piper Jaffray an

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mildred W. Galligan Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. David A. Gingras Michael A. Ehrlich Respondents AWARD #88-00691 Case Summary Claimant Mildred W. Galligan (hereinafter "Claimant") alleged that she was fraudulently induced to open an account at Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. (hereinafter "Merrill

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony F. Hernandez Clairaant(s) vs. The Jamesen Group, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-00687 The Arbitrator, Prudence W. Baldwin, 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 February 26, 1988 and Augu

NATIONAL ASSOCIATION fjr 'JECURITIES DEALERS In I he Matter of the Arbitration Between Louise M. Hamer vs. Claimant Michael Cook Respondent Award #88-00665 The undersigned, being the Arbitrator selected to review and determine a matter in controversy betwppn Hie above-mentioned Claimant and Respondent, set forth in submissions to ;trl>itration signed by the parties on March 31, 1988 and May 11, 1989, respectively; And, having reviewe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Union Securities, Inc., (Claimant) vs. James D. Becker, (Respondent) Case Number: 01-03205 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, First Union Securities, Inc., hereinafter referred to as "Claimant": Ronald Kane, Esq. and Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL. Previously represented by: Renan I. Sugarman, Esq., Senior Vice Pr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the^Matter of the Arbitration Between) ) Ruth M. Musloe and Marcel la M. Tekstar ) ) Claimants ) and ) A W A R D } 88-00663 Drexel Burnham Lambert and ) Peter and Jane Doe Leifer ) Respondents ) CASE SUMMARY In a claim filed with the NASD on February 24, 1988, Claimant Ruth M. Musloe {"Musloe") and Claimant Marcella M. Tekstar ("Tekstar") alleged that Respondents Drexel Burn

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Duncan Bazemore Loretta Bazemore vs. Birr Wilson & Co., Inc. Robert Wotherscoon Claimants Respondents ) ) ) ) ) ) ) AWARD ) NASD NO. 88-00651 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on February 29, 1988. alleged the following: fraud, negligent co

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) SRI VENTKATESWARA ENTERPRISE ) v. ) NASD No. 88-00646 MERRILL LYNCH, PIERCE, FENNER ) & SMITH, INC. & ALLEN LOVE et a] ) Respondents ) CASE SUMMARY SRI Yentkateswara Enterprise, a partnership ("Claimant") alleged that Merrill Lynch, Pierce, Fenner & Smith, Inc. and Alan Love (collectively referred to herein as "Respondents") were negligent in failin