N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber Incorporated Name of Respondent Joel Krinsky dba J&J Investments MODIFIED AWARD 93-01387 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 7, 1993, Claimant PaineWebber Incorporated, by and through their in-house counsel Garry J. Stegeland, Esq., alleged that on or

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lydia & Dominic LaLumia 93-01380 Name of Respondent First Institutional Securities Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 6, 1993, Claimants Lydia & Dominic Tji^mia, who appeared Pro Se, alleged that in January, 1988 Respondent First Institutional Securities Corp. by and thr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Colorado Chemical Company Profit Sharing Plan and Donald Kaufmann, TTEE and 93-01373 Name of Respondents Merrill Lynch. Pierce Fenner &. Smith. Inc. and Mark Jones REPRESENTATION OF PARTIES Colorado Chemical Company Profit Sharing Plan and Donald Kaufmann, TTEE ("Claimants") were represented by James A. Shpall. Esq. o

INDUSTRY N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeff H. Peterson 93-01371 Name of Respondent PaineWebber, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 6, 1993, Claimant Jeff H. Peterson, who appeared Pro Se, alleged that Respondent PaineWebber, Inc., through its branch manager, Mike Matthews, terminated hi

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Richard Blackman & Co., Inc. 93-01370 Name of Respondent Donald Hawiyluk CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 6, 1993, Claimant Richard Blackman & Co., Inc., by and through its President Joseph J. McCaffrey, alleged that Respondent Donald Hawryluk opened an account on Nov

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03623 John S. Kriskey and Ann Kriskey, Claimants vs. George Halloran, First Union Brokerage Services, Inc., Paul Costello, Laura Smith, Rosalind Klein, and Dwight C. Moody, Respondents. ATTORNEYS: For claimants appeared John P. Coleman, Esq., Stamford, CT For respondents appeared in-house counsel for First Union Brokerage Services, Inc., James A. Vollins, Esq., Charlotte, NC. D

•-' i r r.ui'i i u-ou—nr>a L i rr-i • i'-'i i ~ -i 11 wn< _iui N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In rhe Matter of the Arbitration Between Name Billy Turner and Lynn Forester and 9341367 Name of Respondents A. B, Culbertson and Company Michael E. Boever REPRESENTATION OF PARTIES Billy Turner and Lynn Forester (^Claimants") were represented by Bert Kell, Esq. of Hoover & Storey, Little Rock, Arkansas; i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rita Mizell; Rita's, Inc.; Rita's, Inc. Money Purchase Pension Plan; and Rita's Inc. Profit Sharing Trust 93-01366 Name of Respondents Prudential Securities Incorporated; Gerald A. Kissner REPRESENTATION For Claimant: Rita Mizell; Rita's, Inc.; Rita's Money Purchase Pension Plan; and Rita's Inc. Profit Sharing Trust ("Mize

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of James M. Fazzio 93-01365 Name of Respondents Shearson Lehman Brothers, Inc. Lawrence Udell Joan Caridi LisaKahl CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 5, 1993, Claimant James M. Fazzio, who appeared Pro Se, alleged that he was contacted by Respondent Lawren

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bridget Shaheen 93-01361 Name of Respondents Robert Todd Financial Corp. Steve R. Cloyes CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 5, 1993, Claimant Bridget Shaheen, who appeared Pro Se, alleged that she became involved with Respondent Robert Todd Financial C