NATIONAL ASSOCIATION OF SECURITIES DEALERS ) ) In The Matter Of The Arbitration Between) Weems R. Pennington, Jr., M.D., et al., ) Claimants, ) AWARD vs. ) #87-00970 Bear Stearns & Co., Inc., ) Shearson Lehman/American Express, Inc., ) Harry Henzel, ) Respondents. ) Case Summary This proceeding was commenced initially on March 16, 1987 by Claimants Weems R. Pennington, Jr., M.O. ("Dr. Pennington"), Harper, Harper & Pennington, P.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Sara May Schmunk Claimant ) vs. ) AWARD First Florida Securities Group, Respondents ) CASE NO. 87-00914 Inc., Monvest Securities, Inc. and ) Richard S. Hoffman, Jr. ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 4, 1987. Claimant alleged that Respondents failed to execute sell orders place

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Charles and Mary Kleckner, Claimants vs. Janney Montgomery Scott & Co., Yorke McCarter Owen & Bartels, Broadchild Securities Corp., O.H. Blair Co., Inc. and Edward Beaudette Inc., Inc., Respondents Case #87-00875 Award CASE SUMMARY Claimants alleged that Edward Beaudette, while in the employ of the above-captioned four firms liquid

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: Arthur E. Marchetta 01-02492 Names of the Respondents Hearing Site: UBS PaineWebber, Inc. and Charles R. Lang Boca Raton, FL REPRESENTATION OF PARTIES For Arthur E. Marchetta, hereinafter referred to as "Claimant": Arthur E. Marchetta, Esq., Maier & Marchetta, Fort Lauderdale, FL. For UBS PaineWebber, Inc. ("PW") and Charles R. Lang ('Lang"), herein

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Richard Russo Claimant ) vs. ) CASE NO. 87-00847 Bateman Eichler, Hill Richards, Respondents ) Inc., Steven Brixey, Paul Smith ) and Susan West ) SUWARY OF ISSUES Claimant filed this claim with the NASD on June 17, 1987 for wrongful termination, breach of contract, breach of the implied covenant of good faith and fair dealing, and interference w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between ) ) Joseph Kutyana and Betty Kutyana Claimants ) VS. Greentree Securities Edward A. Viner & Co Sajjad Ahmed Corporation ., Inc. Respondents ) ) ) ) ) ) ) ) ) ) ) Case *87-OQ711 Award The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) DONALD M. and MILDRED KUHNS, ) Claimants. ) ) Case 187-01568 vs. ) Award ) BESHANY BROWN & CO., BROWN S HAWK, INC.. ) K.W. BROWN J. CO. d/b/a K.W. BROWN INVESTMENTS ) and EDWARD A. VINER i CO. n/k/a FAHNESTOCK & CO.. ) ) Respondents. ) ) Heard before the members of the Arbitration Panel: Howard E. Kurzweil, Esq. Mr. Thomas E. Swe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Mona Georgi Claimant ) Award vs. ) CASE NO. 87-01552 Thomson McKinnon Securities, Inc. ) S. Richard Oltman ) Joyce Wieselmann Respondents ) SUMMARY OF ISSUES This claim was filed on September 2, 1987. Claimant alleged lack of suitability and misrepresentation in the sale of Kaiser Steel preferred B stock. Respondents denied claimant's allegations and

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Lois M. Cook ) Claimant ) and ) A W A R 0 ) 87-01497 E. F. Hutton & Company, Inc. and Thomas Woolsey Respondents ) CASE SUMMARY In a claim filed with the NASD on August 11, 1987, Claimant Lois Cook ("Cook") alleged that Respondents E.F. Hutton & Co., Inc. and Thomas Woolsey ("Hutton" and "Woolsey") breached their fiduciary duty to Coo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Great American Airways Claimant ) ) AWARD vs. ) CASE NOS. 86-00279 ) 86-00280 0. H. Blair & Co., Inc. and Respondents ) Richard Stoyeck ) Great American Airways Claimant ) vs. Bear Stearns & Co., Inc. and Respondents Richard Stoyeck SUMMARY OF ISSUES Claimant Great American Airways ("GAA") filed the above-captioned claims on January 2, 198