NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE «90-01574 AWARD In the Matter of the Arbitration Between Anton E. Reel, III Claimant vs. Datek Securities Corporation vs. Legg Mason Wood Walker, Inc. Respondents CASE SUMMARY Anton E. Reel e III, in a claim filed with the National Association of Securities Dealers, Inc. on June 4, 1990, alleged that Respondent Datek Securities Corporation executed a purchase order for

AMSO N.A.S.D. STIPULATED AWRRD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of 90-01573 Scott Koppelman Hod Odcm Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 For Claimant: Joseph W. Prokop of Prokop and P&okcp. For Respondent: Richard J. Bennett, Attorney at law. Statement of Claim filed: June 4,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerald J. and Kathryn R. Keane Claimant(s) vs . Mark Hammer, Marshall Davis, Inc. and Advent Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 90-01572 CASE SUMMARY Claimant(s) Gerald J. and Kathryn R. Keane alleged that Respondent(s) Mark Hammer, Marshall Davis, Inc. and Advent Securities, Inc. provided erroneous and misleading i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s\ Robert G. Mueller 90-01571 Name of Respondentss) Merrill Lynch, Pierce, Fenner & Smith, Inc. In a claim filed with the National Association of Securities Dealers , Inc. ("NASD") on or about June 4, 1990, Robert G* Mueller ("Claimant") alleged that Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent 11 ) failed t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ralph C. Reese / ^-^ Claimant/ ^ / /-;- vs. / * 90-01570 / / " ' ' v. Invest Financial Corporation / //; Cr . Respondents! / "z^m.^r REPRESENTATftJH^Qy PARTIES Ralph C. Reese appeared pro se. Respoftdeat Invest Financial Corporation was represented by Eugene B. HarpSr>^/Esq*, Staff Attorney, Invest Financial Corporat

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-04789 Evagoras Papayiannis, claimant vs. Worthington Capital Group, Inc., Morgan Grant Capital Corp., Howard Zelin and Russell Ehrens, respondents. ATTORNEYS: For Claimant appeared Leonard A. Rodes, Esq., of the firm Trachtenberg and Rodes, LLP, New York, NY. For Respondent, Howard Zelin, appeared Randy Scott Zelin, Esq., Westbury, NY. Respondents, Worthington Capital Group, Inc., M

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Don Rametta Claimant(s) vs. ; 90-01557 Kober Financial Corp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Don Rametta alleged that Respondent(s) Kober Financial Corp. misrepresented material facts and used high-pressure sales tactics to induce Claimant to purchase securities. Respondent(s) maintain that it executed an ord

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-01555 AWARD In the Matter of the Arbitration Between Robert and Gloria Schumacher Claimants vs. Shearson Lehman Hutton f Inc. Respondent CASE SUMMARY Claimants, Robert and Gloria Schumacher, in a claim filed with the National Association of Securities Dealers, Inc. on June 1, 1990, alleged that Respondent, Shearson Lehman Hutton, Inc., failed to close out the equity po

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between p nf flaimant tfu, r & Dana L. and Jfargaret A. Tinnes f Jtten. Name of Respondents Craig Hallum, Inc. Daniel R. Tenney The American Insurance Co. >'99t '"'C^r 90-01552 In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about June 1, 1990, Dana and Margaret Tinnes ("Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Malkit S. Sappal Name of Ed Mailer Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Case No, 90-01549 Heard before: Myron S. Dunay, Esq. Public Claimant, Malkit S. Sappal ("Sappal"), reprepresented himself. Responde