NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bonnie McDermott Claimant(s) vs. Blinder, Robinson & Co., Inc. and John Bennett Respondent(s} NOTICE OF ARBITRATION AWARD 88-00642 CASE SUMMARY Claimant Bonnie McDerrcott alleged that Respondents Blinder, Robinson & Co., Inc. and John Bennett executed unauthorized transactions in Claimant's IRA account. RELIEF REQUESTED Claimant Bonnie McD

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Alfred N. Bjornsen Claimant vs. First Affiliated Securities, Inc. vs. Thomas Missler Respondents OATH AND AWARD OF ARBITRATOR 88-00641 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Alan B. Shaw vs. Claimant Prudential-Bache Securities, Inc. Respondent Case #88-00640 The undersigned, being the arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in a submission to arbitration signed by the Claimant Alan B. Shaw on February 18, 1988 and not signed by the R

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Douglas E. Campbell and Wanda P. vs. t Roger Riley PaineWebber, Inc. Between ) ) Campbell ) ) Claimants ) ) ) ) Respondents ) ) Case #88-00635 Award The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimants and Respondents, set forth in submissions

NATIONAL -:>sw:i;-nwi OF -JECURIT-ES DEALER, INC. [n the Master of the Arbitration Between Catherine Sepe ; CASE #88-00628 Gennaro S'-pe AWARD and Catherine Sepe as Executrix of the i Estate of Peter Sepe Claimants VS. ; Blinder, i!obinson & Co., Inc. -1fred Ge> riets Respondents CASE SUMMARY Cla mants al lege that Alfred Gerriets, formerly a registered representative with Blinder, Robinson & Co., Inc., recommended that they sell

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between Ricky C. Pennisi Name of Respondent Prudential-Bache Securities Inc. AWARD Case #88-00627 Claimant, Ricky C. Pennisi (hereinafter "Claimant") alleged that Respondent, Prudential Bache Securities, Inc. (hereinafter "Respondent") failed to supervise the broker handling Claimant's account. Claimant alleged that his account was improperly man

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gloria Jean Dennis and Georgia Chatman Claimant(s) vs. 88-00614 The Stuart-James Company Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gloria Jean Dennis and Georgia Chatman alleged that Respondent(s) The Stuart-James Company made misrepresentations and failed to execute trades. Respondent(s) maintain that before Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan Ungar (Claimant) v. McLaughlin Piven, Vogel Securities, Inc., Sean Davis, James Joseph McLaughlin, Sr., James Cecil McLaughlin, James Michael Kennedy and Edward Thomas Brienza (Respondents) Case Number: 01-03194 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Susan Ungar, hereinafter refer

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of the Arbitration Between ) ) GARY OZGA, ) Claimant, ) ) Case 188-00591 vs. ) Award ) GRAYSTONE NASH, INC., SEAN BOYLE ) and OEHNIS WILLIAMS, ) Respondents. ) Heard before the members of the Arbitration Panel: Arieh Leo Douer Harvin A. Berkowitz. M.D. Joseph M. Luby CASE SUMMARY This clain was filed with the NASD, Inc. on February 24, 1988. The hearing wa

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gary C. & Karen A. Mandernach Claimant(s) vs. Stern Brothers & Co., Inc. Respondent(s) AWARD 88-00583 The Arbitrator, , having been 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 16, 1988 and June 8, 1988, respectively