NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-02508 Alan Wynroth and Jean Reynolds Wynroth, claimants vs. Arthur Lewis and CIBC Oppenheimer, respondents. ATTORNEYS: Claimants appeared Pro Se through Alan Wynroth, New York, NY. For Respondents appeared Peter M. Spett, Esq., in-house counsel, New York, NY. DATE FILED: May 14, 2001 CASE SUMMARY: Claimants alleged that respondents failed to advise them that their long- time bro

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between ) Vander Pearson ) & Debra J. Pearson, JT TEN ) & Raymond Ward ) Claimants ) vs. ) Walter V. Johnson ) NASD No. 87-01845 & Dean Witter Reynolds, Inc. ) Respondents ) SUMMARY OF ISSUES This case was originally filed with the National Association of Securities Dealers, Inc. ("NASD"), on September 30, 1987; Claimants amended their claim on March 31,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among ) Ronald O'Agnessa, ) Claimant ) Case #87-01822 vs. ) Award ) Douglas Bremen & Co., Inc., ) ) Respondent/ ) Third-Party Claimant ) vs. ) Brian Higgins, ) Third-Party Respondent ) CASE SUMMARY Claimant alleges that his broker, Brian Higgins, fraudulently induced him to purchase $15,674.50 worth of Maxaxam, a speculative stock, and state

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter.of the Arbitration Between ) Linda Phillips, ) Claimant, ) ) Case 187-01807 vs. ) Award Donald Stoghill and ) Colin J. Breen, ) Respondent. ) Heard before the members of the Arbitration Panel: John P. Byram Jackson L. Morris Regar Mickler CASE SUMMARY This claim was filed with the NASD, Inc. on March 3, 1988. The hearing was conducted in Tampa, Florida, with a tot

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ' ) EDITH SKLAR, SOL SKLAR, CELESTE ) WEITZ and DELILAH NEUMAN, ) Claimants, ) ) Case #87-01787 vs . ) Award ) SHEARSON LEHMAN BROTHERS, INC. ) and MARLAN M. HERMAN, ) Respondents . ) Heard before the members of the Arbitration Panel: Arieh Leo Douer Daniel Goodrum Terrence W. Grant CASE SUMMARY This claim was filed with the NA

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) OSCAR A. & MARION B. CARLSON Claimant(s) v. HEINER & STOCK, INC. AND GEORGE J. WASSON CASE NO. 87-01782 AWARD Respondent(s) JOAN KAY STOCK v. Third Party Respondent CASE SUMMARY Oscar A. and Marion B. Carlson ("Claimants") alleged that George T. Wasson ("Wasson") registered representative of Heiner & Stock, Inc. ("Heiner") (Hasson a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In ilie Matter 1 < >f the Arbitration Between Marbiu-.i >'> Daniel -luclge vs. Claimants Fidelity Brokerage Services, Inc. Respondent Award #87-01772 The undersigned, being the Arbitrator selected to review and determine .1 matter in controversy between the above-mentioned Claimants and Rpspnmleiit, set forth in a submission to arbitration signed by the parties on August 28, 1987 and Febr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Keith and Katherine M. Keim ) ) Claimants ) and ) A W A R D ) 87-01731 C. Thomas Wahl and Merrill Lynch, Pierce, ) Fenner and Smith Respondents CASE SUMMARY In a claim filed with the NASD on September 15, 1987, Claimants Keith and Katherine Keim ("the Keims") alleged that Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between MARY B. KANE AND JAMES M. BARBER, vs. PAINEWEBBER, INC. AND JEROME C. KELTER, Claimants, Respondents. Case #87-01708 Award Heard before the members of the Arbitration Panel: Leonard H. Davidson, Esq. Ms. Elizabeth L. Clark Mr. Terrence W. Grant CASE SUMMARY This claim was filed with the NASD, Inc. in May 23, 1988. The hearing was con

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. . In the Matter of the Arbitration Between Robert Green Claimant vs. First Florida Securities Group, Inc. Robert C. McClure Richard L. Hoffman Respondents Case #87-01707 AWARD CASE SUMMARY Claimant, Robert Green alleged that Respondents, First Florida Securities Group, Inc., Robert C. McClure and Richard L. Hoffman failed to liquidate JOCOM & ICOM common stock in his account. The C