NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dr, Herbert Nevyas Claimant vs. Robert Beuret Beuret & Co. Respondents. CASE #89-02203 AWARD CASE SU^f^ARY Claimant Dr. Herbert Nevyas alleged that Respondent Robert Beuret, formerly of Respondent Beuret & Co., Inc., made false and misleading misrepresentations and omissions concerning the financial status of Spaulding International, Inc. ("Sp

1 v: NATIONAL ASSOC I AT TON OF SECURITIE'^ DEALERS, INC. In the Matter of the Arbitration Between Donald Napier- Claimant vs. Broadcort Capital Corp. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondents CASE #89-02192 AWARD CASE 5UWARY Claimant, Donald Napier, alleges that Respondents, Broadcort Capital Corp. and Merrill Lynch, Pierce, Fenner & Smith, Inc., as clearing agents for Philips, Appel and Walden, Inc., failed to carry

NATIONAL ASSOCIATION OF SECUFaTIE;; 1'I-;ALERS, INC. 1^ In the Matter of the Arbitration Between : Regina Finder . Case #89-02176 Claimant AWARD vs . : Gibraltar Securities Company Steven Rosenblum Respondents Case Su-mroairy Claimant, Regina Finder, Alleged thai; H'^sjxjndents, Gibraltar Securities Company ("Gibraltar') ami Steven Rosenblum ("Rosenblum") failed to follow the specific express instructions and wishes of the Claima

N.A.S.D. AWARD \ NATIOIAL ASSOCIATICN OF SECURITIES DEALERS -y \. \ ^ In the Matter of the Arbitration Between Name of naimanHfs^ Willian T. Knoke aka HcLP/ard Ce^/ei . 89-02175 Name of Restxandent (s \ Bekhor Securities Corp, ?< ih1 ir/Industry Fublic/Chairman :Public Industry ^-xautiant appeared Pro Se Respondents BSC and BIGI ^.^re represented by : Don A Proudfcot, -J^. Ssq _ Graham & James. This matter was initiated by a St

Award NASD Dispute Resolution In the Matters of the Arbitrations Between: McLaughlin, Piven, Vogel Securities, Inc., Claimant v. Erik C. Peterson, Shane A. McCann, and Brookstreet Securities Corporation, Respondents Shane A. McCann, Counter-Claimant v. McLaughlin, Piven, Vogel Securities, Inc., Counter- Respondent Case Number: 02-04475 Hearing Site: Salt Lake City, Utah Nature of the Disputes: Member v. Associated Persons and Member Associated P

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bateman Eichler Hill Richards Inc. Claimant(s) vs. Karen Leong Respondent(s) 3 Region volume^. Number. Year^- NOTICE OF ARBITRATION ANARD 89-02055 CASE SUMMARY Claimant(s) Bateman Eichler Hill Richards Inc. Respondent(s) Karen Leong owes Claimant for a Respondent(s) did not respond. RELIEF REQUESTED alleged that margin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiinant{5^ W. Paul Ayers, Jr. Glen A. Koehler Name of RescondentUX Barringt:on Nugent Stuart James Company, Inc. Stuart Ciraff James W. Padgett Michael Oliva r 89-02038 89-02027 R - CASE ?^]MMARY r. W. Paul Ayers and Glen A. Koehler ("Claimants") alleged that: 1. Barrington Nugent ("Nugent"), a registie

" N.A.S.D. AWARD nmopL AsaxiKcrcM OF SECURITIES DEALERS In tbe JUtA of i±e .ttfaltxation Between Mfiiwtmil and Oi-y J3DC> 89-01983 Eric anctz vs. Heard befoces Name pL±)lic/Inctustry ( , j*^- Industry Arbitrator DavixJ S. sayior industry Arbitrator Industry Arbitrator ray, gramiy > \ ims itett^ was initiated by a Statanent of Claim filed with the ^3ationaF" Association of Securities Dealers, Inc. ("NASD") on JxUy 12, 1989. Cl

N.A.S.D. AWAPD NATIONAL ASS(X:iATICN OF SECURITIES DEALERS V - In the Matter of the Arbitration Between Name of Claimant/s) Karin Giger Name of Re.«^rnTvtent (s | Drexel Bumham Lambert, Inc. smith Barney Harris Upham & Co., Inc. L. Maurice Provosty 89-01976 CASE SIIMMARY In a Statement of Claim filed with the NASD on July 11, 1989, Claimant Karin Giger albgpcl ticit Respondents mishandled her IRA account by placing tvgo-thirds of th

NJ^S.D. AHKRD NMTCKAL ASSOCIATICN OF SBCUklTlES DEALERS In the Kb tter of the Aiiaitratian Between Name of ClaiirBnt(s) John A. Luciano John D. Miosi Peter Yuhas, Jr. Carmine V. Pardi 89-01880 nrmsuil j ftol-QH with #89-01400^ Name of Respccident (s) First Investors Corpora tioaa Jay T. Stainsby For daimnts: Charles C. Swanekasp, Esq. of Saperstcsi & Day in Buffalo, NEW York and Richard Clack, E^^. ^ Iliasey. Sandbez, Jones, Am