NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Otheo 0. Williams, Claimant, vs. First Jersey Securities, Inc., Robert E. Brennan and Peter Smith, Respondents. Case 187-02293 Award CASE SUMMARY Claimant, Otheo D. Williams ("Williams") alleged that Respondents, First Jersey Securities, Inc. ("First Jersey"), Robert Brennan ("Brennan") and Peter Smith ("Smith") induced Claimant into purchasing

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ronald J. Anson vs. Claimant Stuart James Company,Inc. Respondent AWARD #87-02275 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 Parties on November 17, 1987 and February 16, 1988, respectively;

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between JOHN WIND, Claimant, vs . J. W. CHARLES SECURITIES. INC., f/k/a J. W. CHARLES BUSH SECURITIES, INC., and JOHN ALLEN, Respondents. ) Case #87-02272 ) Award ) ) ) ) ) Heard before the members of the Arbitration Panel: Joseph L. Caruncho, Esq. Arnold Sarrow Steven M. Greenbaum, Esq. CASE SUMMARY This claim was fi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard Hein and Patricia Hein Claimants Case $87-02253 vs. Award Standard Brokerage Services, Inc. Respondent The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimants and Respondent, set forth in submissions to arbitration signed by the parties on November 14, 1987 and Janu

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mark S. Gilbert and Wendy C. Gilbert Claimant(s) vs. 87-02250 New England Discount Brokerage Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Mark S. Gilbert and Wendy C. Gilbert alleged that Respondent(s) New England Discount Brokerage did not execute Claimants' trade in a timely manner. Respondent denies Claimants'

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mary Morton Parsons Claimant vs. Hamilton, Bohner Van Vleck, Inc., John E. Sherman and John R. McKowen, Respondents Case #87-02248 Award CASE SUMMARY Claimant, Mary Morton Parsons, alleges that Respondents sold 335,000 shares of Home Beneficial Corp., some of which were sold without her written authorization, and that Respondents confirmed t

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Ellen R. Weintraub Name of Respondent First Equity Corporation of Rorida Case No. 01-02759 Hearing Site: Boca Raton. Florida REPRESENTATION OF PARTIES Claimant Ellen R. Weintraub ("Weintraub") appeared pro se. Respondent First Equity Corporation of Florida ("First Equity") did not appear. (See "Other Issues Considered and Decided"). CASE INF

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Christopher and Thomas Vasilas ) Claimants ) and ) A H A R 0 ) 87-02234 Cowen and Co., Mike Ermilio and Viceroy International Securities Respondents SUMMARY OF THE CASE Christopher Vasilas and Thomas Vasilas, ("Claimants") allege unauthorized trading against Mike Ermilio; Cowen and Co.; and viceroy International Securities Corp. ("Respond

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert Kami 11 Claimant Case #87-02218 vs, Award South Richmond Securities, Inc. Respondent The undersigned, being the Arbitrator selected to rpview and determine a matter i.. controversy between the ?cove-mentioned Claimant and Respondent, set forth in submissions to Arbitration signed by the parties on November 12, 1987 and March 25, 1988, res

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) DEAN WITTER REYNOLDS, INC., ) Claimant. ) ) Case #87-02212 vs. ) ) RICHARD SANE, ) Respondent. ) REPORT OF ARBITRATORS Sane is an individual who has resided full time in Kissimmee, Florida for approximately five (5) years. While in college, Sane passed the Series 3 Examination and obtained a license to sell Mutual Funds. In the early 70'