NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ann Dorst vs. Claimant i ) Case 187-02761 Award Drexel Burnham Lambert, Inc. Respondent Heard before the members of the Arbitration Panel: Oh May 18, 1989, in San Francisco the arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant on Ann Oorst on May 16, 1988, and by Respondent Drexel

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Robert M. Jannone, ) Claimant ) vs. ) Viceroy International Securities, Inc., ) Case #87-02753 ) Award Respondent ) and ) Cowen & Company, ) Respondent ) Third-Party Claimant ) vs. ) Robert J. Onesti and ) Avin Bakal, ) Third-Party Respondents ) On May 5, 1989, the undersigned arbitrators heard the controversy between t

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Winifred M. Braun Claimant vs. Award 087-02749 Herzfeld & Stern, Inc. Philips, Appel & Walden, Inc. Gruntal & Co., Inc. Respondents The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in submissions to arbitration signed by the Claimant on De

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George M. Hornfecke Claimant(s) vs. J.T. Moran & Co., Inc. Novatech Capital Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 87-02745 CASE SUMMARY Claimant George M. Hornfecke alleged that Respondents J.T. Moran & Co., Inc. Novatech Capital Corp. failed to execute a sale. Respondents maintain that the Claimant was in Europe at the time of the a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James A. Williams Claimant(s) vs. 87-02729 Olde Discount Corp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant James A. Williams alleged that Respondent Olde Discount: Corp. mismanaged his account as there was a time delay from the time of order to execution. Additionally James A. Williams alleged that there was a difference betwee

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert M. and Sandra W. MacLeod Claimants vs. Robert C. Carr & Co., Inc. Robert Daniels Respondents AWARD #87-02724 Case Summary On January 4, 1990, the Claimants Robert M. and Sandra W. MacLeod (hereinafter "Claimants") alleged that Respondents Robert C. Carr & Co., Inc. (hereinafter "Robert Carr") and Robert Daniels (hereinafter "Daniels") breac

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Chester A. & Evelyn H. Smith Claimants vs. #87-02717 Merrill Lynch, Pierce, Fenner & Smith, Inc. Dean Witter Reynolds, Inc. Respondents 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 to arbitration signed by the parties on

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among J.P. ThibauH Bouet, vs. Copeland Securities, Inc., vs. Kenneth Lissak, Claimant Respondent/ Third-Party Claimant Third-Party Respondent Case #87-02711 Award CASE SUMMARY Claimant alleges that on July 30, 1987, he called Kenneth Lissak from Tokyo and gave him an order to sell 6000 shares of Total Health stock and that his sell o

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Kenneth Briggs, Claimant vs. Brooks Weinger Robbins & Leeds, Inc., Respondent/ Third-Party Claimant Case #87-02706 Award vs. Michael Yeates Crump, Third- Party ) Respondent ) CASE SUMMARY Claimant alleges that his broker Michael Yeates Crump failed to recommend profitable stocks which Respondent, Brooks Weinger Robbins and Leeds, I

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ronald Steven Blum Claimant(s) vs. 87-02710 Richard Blackman & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Ronald Steven Blum alleged that Respondent Richard Blackman & Co. failed to execute a. sell order in a timely manner. Additionally, Ronald Steven Blum alleged that this failure to execute forced him to sell other secur