NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Case #87-01320 AWARD IN THE MATTER OF THE ARBITRATION BETWEEN Robert F. Fenstermaker Claimant vs. Blinder Robinson & Co., Inc. Respondent CASE SUWARY Claimant Robert Fenstermaker alleged that the Respondent Blinder Robinson & Co., Inc., acting through its employee, misappropriated funds from the sale of stock in his account and that stock was purchased in his account without his author

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Alfonso H. Pena ) ) ' Case #87-01202 Claimant ) vs. ) Award Marshall Davis, Inc. Bruce E. Kitzis - ) Mark Dzarnoski Respondents ) John D. Manson - ) Sender Zucker ) 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 arb

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Warren Hambly, (Claimant) vs. TD Waterhouse Investor Services, Inc., (Respondent) Case Number: 01-02502 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Warren Hambly, hereinafter referred to as "Claimant", appeared pro se. Respondent, TD Waterhouse Investor Services, Inc., hereinafter referred to as "Respondent": David L. Ward, Esq., Murphy & Michaels,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Gary S. Goltz Sharon R. Goltz VS. Amtax Management Corporation M. Walter Levine ) Between ) ) Claimants ) Respondents j 1 CASE NO. 87-01184 SUMMARY OF ISSUES This case was filed on July 2, 1987. Claimant alleged Respondents fraudulently misrepresented two limited partnership investments as suitable for Claimant's financial position and i

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Richard Pena Claimant vs. ) 'Case #87-01139 Award J.B. Power Securities Plttock Financial Corporation David Oroubay Respondents The undersigned, being the Arbitrator selected to review and and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in submissions to arbitration signed by the Claimant on Ju

NATIONAL ASSOCIATION OF SECURITIES DEALERS - In the Matter of the Arbitration Between Orlando Orsini vs. Key Brokerage Company Michael T. Bagenschi Claimant Respondent Award #87-01135 The undersigned, being the Arbitrator selected to review and determine .1 matter in controversy between the above-mentioned Claimant and Respondents, set forth in Submissions to Arbitration signed by the parties on June 23, 1987 and August 11, 1987, res

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George Andreakis Claimant Case 187-01111 vs. Award Prudential-B,-.che Securities, Inc. Bruce Vo11 rath Respondents The unders'.gned, 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 parties on June 17, 1987 and

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Francis M. and Jean H. Blanchard Claimants vs. ) Case i 87-01080 Award E.F. Mutton, Inc. Respondent The undersigned, being the arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent as set forth in a submission to arbitration signed by the Parties on April 4, 1987 and October 27, 1987;

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Case #87-01052 Award In the Matter of the Arbitration Between ) ) Florence L. Okin, ) ) Claimant ) vs. ) ISFA Corporation, ) ) Respondent ) ) CASE SUMMARY Claimant, Florence Okin, alleges that on March 29, 1986, she transferred funds from two Dollar Dry Dock Bank IRAs and instructed Respondent, Invest Corp., to purchase four Ogden Corp convertible 5593 bonds at 98 plus

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) John Varnas Claimant ) vs. ) AWARD Robert L. Davidson, Jr. Respondent ) CASE NO. 87-01008 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on June 15, 1987. Claimant alleged Respondent made an unauthorized purchase of Franklin Custodian Funds, and then deducted a commission from Claimant's shares of the