NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Weissberg Claimant vs. Datek Securities Corp, Abe King Respondents AWARD #87-01706 Case Summary This proceeding was commenced by the claimant Michael Weissberg ("Mr. Weissberg") against Datek Securities Corp. ("Datek") and Abe King ("Mr. King") arising from the purchase and sale of several over-the-counter securities. Mr. Weissberg alleged

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02505 Horwitz & Associates, Inc., Claimant vs. Michael J. Hanna, Respondent. ATTORNEYS: Claimant. Horwitz & Associates, Inc. ("Claimant") appeared through its in-house counsel, Jerry L. Schwartz, Esq., Northbrook, IL. Respondent, Michael J. Hanna, ("Respondent") did not submit an answer to the Statement of Claim. DATE FILED: May 14, 2001 CASE SUMMARY: Claimant maintained that i

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between )_ ) WILLIAM and EVE LEHRPELD, ) Claimants. ) ) Case 187-01704 vs . ) Award ) RLR SECURITIES GROUP, INC., STANLEY ) LEVIN, NORMAN ROBBINS and ALVIN ROSENBLUM, ) } Respondents. ) Heard before the members of the Arbitration Panel: Arthur J. Leibell, Esq. Steven D. Elias, Esq. Patricia A. Shub, Esq. CASE SUMMARY This claim was filed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Jack and Marsha Cox Claimant ) ) vs. ) CASE NO. 87-01698 PaineWebber, Inc., Respondents ) Robert Fournier, ) Robert Dyer ) SUWARY OF ISSUES This case was filed with the NASD on September 9, 1987. Claimants alleged violation of federal securities laws, federal anti- racketeering Taw, state securities fraud, common law fraud, negligence, breach of o

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In. the Matter of the Arbitration Between ) ) " FRANK CARLINO, ) Claimant, ) ) Case J87-01674 vs. ) Award ) BROOKS, WEINGER, ROBBINS & LEEDS, INC., > SHELDON VfINN and SHELDON PITTLEMAN, ) ) Respondents. ) Heard before the member of the Arbitration Panel: Craig Edward Stein, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on September 4, 1987. The hearing was con

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between F. Warren Colbert vs. Prestige Investors, Inc. Joseph Lugo Jerry Rosen Joseph 0. Rate]iff Claimant Respondents AWARD #87-01631 Case Summary The Claimant F. Warren Colbert claims against the Respondents Prestige Investors, Inc. Joseph Lugo, Jerry Rosen and Joseph 0. Ratcllff arise fro» the offer and sale of several over-the-counter securities.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among ) Richard K. McKeel, Jr. and ) Shirley H. McKeel, ) Claimants ) vs. ) Cowen & Co., ) Respondent ) Case #87-01574 and ) Award First Union Brokerage Services, Inc., ) ) Respondent Third-Party Claimant vs. ) J.C. Bradford & Co., ) Third-Party Respondent CASE SUMMARY Claimants alleged that Respondent failed to warn them about t

0 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Salvatore Leo Claimant vs. Viceroy International Securities, Corp. Cowen & Co., Michael Errailio vs. Robert Onesti Respondents Case #87-01571 Award On May 3, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant on July 3, 1987, and by Respondent Cowen

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between Dan Kurzman Florence Kurzman vs. Claimants Case #87-01472 Award David Lerner Associates Benjamin Rabin 4 Respondents CASE SUMMARY Claimants allege Respondents misrepresented risks involved when making an investment in The Gold Fund. Respondents deny any allegations of misrepresent- ations and maintain Claimant's were fully aware of any r

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Thomas and Donna Jones, ) ) Claimants, ) ) Case #87-01352 vs. ) Award ) Ekistic Financial Services Corp., ) Integrated Resources Equity Corp., ) and John F. Orwig, ) ) Respondents. ) ) Heard before the members of the Arbitration Panel: James R. Kennedy Jr., Esq. Richard J. Jones III, Esq. Jeffrey Wuliger CASE SUMMARY