NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-01819 AWARD In the Matter of the Arbitration Between Muriel T. Poss Claimant vs. Dean Witter Reynolds, Inc. Alan Sherman Respondents CASE SUMMARY Muriel T. Poss, in a claim filed with the National Association of Securities Dealers, Inc. on ' June 27 f 1990, alleged that Respondents misrepresented the safety of and the return on her IRA account and invested her reti

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: MENKEN STUDIOS, INC. RETIREMENT TRUST CLAIMANT V. SHEARSON LEHMAN BUTTON, INC. AND JAMES F. BUCKLEY RESPONDENTS AWARD #90-01816 CASE SUMMARY The Statement of Claim was filed with the NASD, Inc. on June 27, 1990. Claimant, Menken Studios, Inc. Retirement Trust, by its Trustee, Howard Menken, alleged that Respondents, Shearson Lehman Butt

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #90^01695 AWARD In the Matter of the Arbitration Between Thomas J. Cahill Claimant vs . Bear, Stearns & Co., Inc. Respondent CASE SUMMARY Thomas J. Cahill, in a claim filed with the National Association of Securities Dealers, Inc. on June 14, 1990, alleged that Respondent Bear, Stearns & Co., Inc. failed to execute his stop-loss orders. Respondent, Bear, Stearns & Co., Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: c: 00-04797 Sybil Peachlum Namfr of fop ppoprmfWt l-Iparirtg So|p- Philadelphia, PA First Capital Brokerage Services, Inc. n/k/a Waypoint Brokerage Services RFPttV.SF.NT A, TION Of? PAT3TTFS Claimant, Sybil Peachlum ("Peachlum"), hereinafter referred to as "Claimant", represented herself at the hearing. Respondent, First Capital Brokerage Services, Inc. n/k/a Waypoint Br

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert L. Pezzati Claimant vs. AWARD Bull & Bear Securities, Inc. Ernst & Co. Respondent * CASE #90-01690 CASE SUMMARY Pro Se Claimant Robert L. Pezzati, in a claim filed with the National Association of Securities Dealers, Inc. on June 14, 1990, alleged that Respondent Ernst & Co. billed him a fifty dollar safe keeping fee without informing

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Tarunkant & Bharati Mithani 90-01689 Ijajne of Respondent Prudential Securities, Inc. For Claimants: Anthony J. Horn, Esq. For Respondent: Kevin B. Hurley, Esq., in-house counsel. CflSE Statement of Claim filed: June 14, 1990. Claimants' Submission Agreement signed: June 12, 1990, Statement of Answer filed by Prudentia

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David Scott Davis 90-01687 Claimant vs. We11shire Securities, Inc. Teresa DiLorenza Respondents OATH AND AWARD OF ARBITRATOR Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or related by blood

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Hak Kay Tai 90-01685 Name of Respondent* si Brennan Ross Securities, Inc. Bassam H. Lahoud Uche Akwuba Heard before: Name Public/Industry Henry Baiter Public Arbitrator This claim was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on June 13, 1990. Claimant alle

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Cowen & Co., Inc. Claimant ) Case if 90-01683 ) vs. ) Award ) Edward Leisure Respondent ) Heard before: John L. Evans, Jr. Public Arbitrator Dean P. Fite Public Arbitrator Robert J. Bonini Industry Arbitrator 1. PARTIES: Claimant: Cowen & Co., Inc. Represented by: Its Associate General Counsel Daniel Donovan Respondent and Counte

M A..q.H. AWARD Arbitration © NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between" Name of Claimant's) George V. Wrend National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 CASE #90-01678 Name of Respondents si Marc S. Barhonovich Heard before the Arbitrator: John R. Lawson, Esq. Public This matter was