NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Great American Airways vs. 0. H, Blair & Co., Inc. and Richard Stoyeck Great American Airways Between Claimant j • J ) Respondents i ) Claimant ) ] vs. Bear Stearns & Co., Inc. and Richard Stoyeck Respondents AWARD CASE NOS. 86-00279 86-00280 SUWARY OF ISSUES Claimant Great American Airways ("GAA") filed the a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) / • ' > V JOHN G. TAUSSIG, Jr., Attorney, ) \ n P.C. DEFINED BENEFIT ) \ •-:-, >> PLAN AND JOHN G. TAUSSIG, III ) , '-. '? Claimants ) and ) \ ,x ) CASE NO. 87-01132 -• BLINDER, ROBINSON & CO., INC. AND ) and 87-00552 "O JOHN 8EGLEY ) ) Respondents ) CASE SUMMARY In claims filed with the NASO on or about March 23, 1987 and on or abo

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN WILLIAM A. BALDWIN CLAIMANT COWEN & COMPANY, INC. AWARD MAX ISAACMAN 87-00502 SCHUYLER PULFORD BARBARA PATTERSON TODD ROGGEN RESPONDENTS CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 24, 1987, Claimant William A. Baldwin ("Baldwin") alleged the Respondents Cowen & Company, Inc. ("Cowen"), Ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS In The Matter of Arbitration Among Ronald and Ann K. Marsh Claimants vs. Shearson Lehman Brothers, Inc., Raymond Clements and Richard Hadaya Respondents Case #87-00321 Case Summary In the Statement of Claim filed with the NASD on March 11, 1987, Claimants, xRonald and Ann K. Marsh, alleged that respondents' incompetently and negligently entered the Claimants into investment transactions that

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Susan R. Jaros and 01-02491 Dallas, Texas Josephthal & Co., Inc. John W. Ezell Rick Ohlhaber REPRESENTATION OF PARTIES Susan R. Jaros ("Claimant") was represented by John E. Dees, Esq., Dallas, Texas. Josephthal & Co., Inc. ("Respondent Josephthal"), John W. Ezell ("Respondent Ezell") and Rick Ohlhaber ("Respondent Ohlhaber")(collectively as

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In t;,e Matter of the Arbitration Between riorris ^retnias Claimant Case #87-00189 vs. ) Award Datek Securities Corporation Respondents ) Edward A. Viner and Company, Inc. ) The undersigned, being the Arbitrator selected to review and determine a mattsr in controversy between the above-mentioned Claimant and Respondents, set forth in submissions to arbitration signed by the Parties on January 4, 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David M. and Janice B. Butler Claimant vs. Alan Fox Respondent ) Case * 87-00086 Award On April 5, 1988, April 11, 1989 and April 18, 1989, the undersigned arbitrators heard the controversy between the parties Claimants David M. Butler and Janice B. Butler on, and by Respondent Alan Fox by order of the Superior Court of California, County of Alameda dat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between } William 5. Miller Claimant vs. Letterman Transaction Services, Inc. Respondent(s) AWARD CASE NO, 87-00042 StitMHT OF ISSUES Claimant William S. Miller filed this action on March 8, 1966 against Letter-Ban Transaction Services, Inc. for misrepresentation and negligence in connection with Claimant's Investment in November 1980 of $30,000.00 In lette

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Eugene Passer Claimant vs. Case #87-00655 AWARD Blinder Robinson & Co., Inc. Respondent vs. Doran Greene Third-Party Respondent CASE SUMMARY Claimant Eugene Passer alleged that the Respondent Blinder Robinson & Co., Inc., acting through its employees, misrepresented with the intent to deceive, and fradulently induced the Claimant to

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William L. Neve Claimant vs. ) ) Case #87-00613 Award Greenfield/Campbell, Inc. James E. Greenfield 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 parties on April 27, 1987 and