NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00675 AWARD In the Matter of the Arbitration Between Julia C. Cotton Claimant vs . Dean witter Reynolds, Inc. Respondent: CASE SUMMARY Pro Se Claimant, Julia C. Cotton, in a claim tiled with the National Association of Securities Dealers, Inc. on January 4, 1991, alleged that Respondent failed to inform her that First Federal Savings and Loan of Arizona was the previous na

N.A.S.D. AWARD NHTCNAL ASSOCDKE1CN OF SECURITIES nq&rjafl In the Matter of the Arbitration Between of dainant Patricia Burke 91-00071 Prudential-Sachs Securities and Jay R. Jablcnrtd. Claimant Patricia Burfce was reprooqntod by Harry **< **«*«>»«»*-, Esq. of Stczpoly & Stroud, P.C., Tixiaaci, Arizona. r lac. -»*^ Jay R. represented by Jesse B. fllitpscn, Esq. of Lewis and Boca, Aoeniac, Arizona. tte Statonent of Claim was filed wi

".A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lynne and Richard Breyer Claimants 91-00069 and Cenpac Securities f Corporation and Carl J, Gottlieb --. -jv- Respondents OF Claimants -^ere represented by &rc R . Lieberman , Esq . of Eaton , Lieberman and Dodge, Ltd. Phoenix, Arizona. Respondents were represented by Bradley P. Forst, Esq. of Tiffany and Hoffman, P.A. f

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Case 1*91-00068 Award In the Matter of the Arbitration Between James L. & Dorothy L. Sparkman Claimants vs. Shearson Lehman Brothers Inc., Respondent CASE SUMMARY In a claim filed with National Association of Securities Dealers, Inc.- on January 4, 1992, James L. and Dorothy L. Sparkman who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers Inc. failed to follow explicit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert J. Krzys 91-00060 Name of Respondents Royce Park Investments, Inc. Elwayne Hafen REPRESENTATION For Claimant Robert J. Krzys: Richard Insogna, Esq. For Respondent Royce Park Investments, Inc. ("Royce Park"): no representative appeared for Royce Park at the hearing. For Respondent Elwayne Hafen ("Hafen"): no repre

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #91-00054 AWARD In the Matter of the Arbitration Between Edmund S. Rittner Claimant vs. Dean Witter Reynolds, Inc. Respondent CASE SUMMARY Pro Se Claimant, Edmund S. Rittner, in a claim filed with the National Association of Securities Dealers, Inc. on January 3, 1991, alleged that Respondent Dean Witter Reynolds, Inc., by their representative Andrew Krosnowski, recommended an uns

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Laura D. Hawkins, Claimant Vs. Case Number: 00-04900 Auerbach, Pollak & Richardson, Inc., and Vincent Poliseno, Respondents. Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimant Laura D. Hawkins ("Claimant") was represented by James P. McCrocklin, Esquire, Louisville, Kentucky. Respondents Auerbach, Pollak & Richardson, Inc. ("APR") and Vin

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00049 AWARD In the Matter of the Arbitration Between Jack & Anne Sterling Claimants vs. Shearson Lehman Brothers, Inc. Seymour Antin Respondents CASE SUMMARY Pro Se Claimants Jack and Anne Sterling, in a claim filed with the National Association of Securities Dealers, Inc. on January 3, 1991, alleged that Respondent Seymour Antin while a registered representative with Shea

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00046 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Dominick T. Peburn Respondent CASE SUMMARY PaineWebber, Inc. by its attorney, Joel E. Davidson, Weehawken, NJ, in a claim filed with the National Association of Securities Dealers , Inc. on January 3, 1991, alleged that Respondent, Dominick T. Peburn, failed to satisfy a debit balance in hi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stephen Shapiro and Stephen Shapiro d/b/a Yonkers Sales Company Claimant vs . CASE #91-00043 AWARD Ariel Equities, Inc. and Yaacov Ariel Respondents Heard Before: Daniel E. Gulden Public Arbitrator REPRESENTATION The Claimant appeared pro se and .the Respondents were represented by Noel Guardi, Esq. who conducted the hearing over the