NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kalmon Low, Trustee of the Kalmon Low D.D.S., P.C. Retirement Trust Claimants vs. Shatkin-Lee Securities Company, Yves Hentic & Company, Inc. and Yves Hentic, individually Respondents Case #87-00572 AWARD CASE SUMMARY This proceeding was commenced initially on March 19, 1987 by Claimant »- Kalmon Low ("Or. Low"), as the Trustee of the Ka

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) / • ' JOHN 6. TAUSSIG, Jr., Attorney, ) >v n P.C. DEFINED BENEFIT ) \ •-;-, PLAN AND JOHN G. TAUSSIG, III ) , -. ~ Claimants ) ^v. and ) \ ) CASE NO. 87-01132 -• BLINDER, ROBINSON & CO., INC. AND ) and 87-00552 - JOHN 8EGLEY ) ) Respondents ) CASE SUMMARY In claims filed with the NASD on or about March 23, 1987 and on or about June 29,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Alfred E. Schaer Mary Schaer vs. Claimants Case #87-00568 Award Oppenheimer & Co., Inc. Ross K. Mandell Respondents On December 15, 1988, March 21, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants Alfred E. and Mary Schaer on February 16, 1986, and by Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George Andricopoulos vs. Brooks, Weinger, Robbins & Leeds, Inc. Fred Wall Claimant Respondents / ) Case 187-00508 Award 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 Claimant on March 30,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) DEAN ADAMSON, STEVEN BRESSLER, TED ) CONNELL, AUSTIN COOPER ET AL. ) ) Claimants ) and ) ) CASE NO. 87-00030 BEAR STEARNS, PAUL SCHLOSBERG AND ) RON PANZERA ) ) Respondents ) CASE SUMMARY Dean Adamson, Steve Bressler, Ted Connell, Austin Cooper, Janes Luther and Stanley Hersh (Adamson, Bressler, Connell, Luther, Hersh, and Coo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Estate of Alfred R. Heiman and 01-02490 Oklahoma City, Oklahoma Name of Respondents Summit Equities, Inc. REPRESENTATION OF PARTIES Estate of Alfred R, Heiman ("Claimant") was represented by Lee D. Sossen, Esq. Summit Equities, Inc. ("Respondent") was represented by Larry W. Johnson, Esq. CASE INFORMATION The Statement of Claim was filed on or abo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00840 Julie Shafritz, claimant vs. Fahnestock & Co. Inc., and Lawrence R. Yerkees, respondents. ATTORNEYS: For Claimant, Julie Shafritz, ("Claimant"), appeared Howard Feinmel, Esq. of the Law Firm Hugh Brett Shafritz, P.A., Delray Beach, FL. For Respondents Fahnestock & Co. Inc., and Lawrence R. Yerkees, (collectively "Respondents"), appeared Eric J. Shames, General Counsel, Fahnestock

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Eugene Gros Scientific Information Consultants, Ltd. Claimants vs. Philips Appel and Waiden, Inc. Laidlaw, Adams and Peck, Inc. Andrew Racz Respondents CASE 186-01520 AWARD CASE SUWARY Claimants Eugene Gros and Scientific Information Consultants, Ltd. charged Respondents with fraud, breach of contract and breach of fiduciary duty in allegedl

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George Landow Claimant vs. AWARD #86-01509 Philips Appel & Walden, Inc. Stephen Becker Bert Weichselbaum Respondents Case Summary Claimant alleged that Respondents misrepresented subject matter and timing of purchases and sales in his account and engaged in unauthorized trading. Respondents maintained that all trades in Claimant's account were

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.. In the Matter of the Arbitration Between Alice F. Mathes Claimant vs. Case #86-01496 AWARD Richard Blackman & Co., Inc. Respondent CASE SUMMARY Claimant Alice F. Mathes alleged that Respondent Richard Blackman & Co., Inc. sold stock in her and her husband's joint name without her authorization. Specifically, Claimant alleged that Respondent sold 60 shares of BP1 Resources, LTD. in the