G NAS.D. MOiBD NATIOAL ASSOCIATIGN GF SECURITIES DEALERS In the Matter of the Arbitxation fietween Hubert and Dolores Ueberschaer 89-02395 Mane RfiiilHtfBnl'/) IDS Securities Heard before: mm Public/Industry Deborah Shezmaun, Esq. Public Arbitrator Jack Wigler Public Arbitrator Jack Friedman, Esq. Industry Arbitrator This matter voas initiated by a Statement of Claim filed with the NationaJ. Association of Securitiies Deeders, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ J.W. Gant Associates Inc. 89-02391 Namp of Res|pQpdent(s) Stanley Richards Rcgicxi. 2> rv Vnhime . NumbOT, Arbitration National Association of Securities Dealers, Inc. Suite 1680 Three First Nationfil Plaza Chicago, IL 60602 (312) 899-4440 7 n CRSE SU9fAR7 In a claim filed with th

Region ^ .£ CL Vniumg % , Number. N.A.S.D. AWARD RooSo^o NATIOJAL ASSOCIATKDN QF SECURITIES DEALERS In ttte Itotter of ttte Arbitration Between Name of Claimant(s) James G. Itoy, John P. Itey and Reed Bosze 89-02386 Marshall Davis, Inc. CASE SUMMARY In a claim filed with the ^aSD on or about August 24, 1989, James G. May, John P. May and Reed Bosze (collectively as "Claiirants") alleged that they vAare employed as registered repres

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x X Donna Demarco x Claimant x X CASE NO. vs . X 89-0.2383 X First Montauk Securities Corp., James Cone x AWARD and E.F. Hutton & Co., Inc. - x X Respondents x CASE SUMMARY Claimant, Donna Demarco ("Demarco"), alleged that her investments in the Oppenheimer Time Fund, Global Fund arid OTC Fund, purchased on her behalf by the Respondents, F

PPR 24 '91 1£:11 P.P. N.A.S.D. janRD NATXCmi. ASSOdATZau CF SBQJRITIBS DEKlfilS Bi the ifcttec of tha ATftltTntlon Brtawi Ttm nf nnlTmnrfn) 89-02382 aalth auney Huxlfl qc^iam & Go., £ac. Jeoniah S* Bums Hwxl bttfocei NUB FubUc/Industry David Salnanr Btoq* Public Add-tzatcar Sincn Ohgetr Public Aiiiltntac Rofaect Schanwc xoduatzy AcfaLtzatm rOiis mattea: ^MBS initiated by a Statanent of Claim fUad with the iteblonal ABBodaticn o

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between CASANDRA K. MCCORD. Claimant, vs . IRI SECURITIES CORP.. ROBERT A. MAAS. JOSEPH R. MCCARTY and KZITH A. LOVELAND, Respondents. Case /89-0:.3 74 Award Heard before the members of the Arbitration Panel •7 CASE SUMMARY This claim was filed with the NASD, Inc. on May 9, 1989. The hearing was conducted in Fort Lauderdale, Florida cn May 30, 1990 wi

® Arbitration N.A.S.D. AWARD MationalAMeeiaiienof SaeurHiMDMlMirine. NASD Financial C«nter 33 Whitehall StrMt NATIONM, ASSOCIATICN OF SECURITIES DEALERS New York, NewYorklOOO In the Matter of the Arbitraticm BebA/een Name of nainwinf-ffi) Dorothy Con^jton 89-02354 Brooks Weinger Rc±ibins & Leeds, Inc. HaniiJLtCKi Bohner, Inc. Kenneth Shave Geremy P. Gamer Heard before: Name Public/Inciustxy Gary L. Tidsniell, Esq. Publi

Region j^..?^ ->qol[0'n Volume ^ . Number, N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Bet;*een Name of Claimantfs^ Robert A. Wilson 89-02328 ' Name of Respondentrs^ Prudential-Bache Securities Inc. CASE SUMMARY In a claim filed with the NASD on or about July 24, 1989, Robert A. Wilson ("Claimant") alleged that Prudential Bache Securities, In:. ("Respondent") wrongfully tezminated the Clai

^7 --OHO^i NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ROLAND GREG CORNELL Claimant and RANDY THATCHER Respondent CASE NO. 89-02315 CASE SUMMARY In a claim filed with the NASD on or about July 31, 1989, Claimant Roland Greg Cornell {"Claimant") alleged that he was not fully advised of the risks of margin transactions, in particular that he wasn' t advised of a debit balance at the time o

U NASXi. NOSD NATICMAL ASSOdATICN GF SBCDRITIES ngarjapfg In the Matter of the Azbltxatlczi Betweea Name of daimant; Ethel Bedmer Scull 89-02308 Name of Respondenta; Shearson TiPhmrm Brothers, Inc. Charles Lewis For daJjiBnt: Stanley AcJcert, Esq. of Blian, Gersea & Stream. For Respcndent Shearson Tifthngm Brothers, Inc. ("Shearson"): Harxy D. Frlsch, Esq. For Reqxaadent Charles Lewis ("Lewis") : Philip J. Hoblin, jr., Esq. of Park