jloZyZ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Murray Zinman Claimant vs. PaineWebber, Jackson & Curtis, Inc. Respondent AWARD #88-03283 Case Summary This proceeding was commenced by the Claimant Murray Zinman ("Mr. Zinman") against the Respondent PaineWebber, Jackson & Curtis, Inc. ("PaineWebber") arising from the instruction by the Claimant to exchange his shares of convertible preferre

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dr. Richard B.Stern Claimant(s) vs . Charles Buell and Shearson Lehman Hutton Respondent(s) AWARD 88-03224 The Arbitrator, Mrs. Anne Cugliani, having been selected to review and determine a matter in controversy between the above- mentioned Claimant and Respondents, set forth in a submission t.o arbitration signed by the parties on October 14, 1988 and D

Region. Volume. Number Year ^0 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ( , - Prudential-Bache Securities, Inc. vs. Linda K. Lees Claimant/ Counter-Respondent ) AWARD ) Respondent/ ) Counter-Claimant ) ) ) ) CASE #88-03219 ) SU^t^RY OF ISSUES This case was filed on October 18, 1988. Claimant/Counterrespond«nt alleged that Dr. John Lees and Linda Lees opened an account in February 1987, that Dr.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of riaimant(sl Samuela E. Smith, Alexand Assoc. Name of Respondentfs) Dain Bosworth Incorporated Michael Landfair 88-03204 AND Name of Claimants Carol A. Buraesoc Dain BOsworth Incorporated Michael Landfair 87-03722 CONSOLIDATED CASES SimMARY OF TSSTIKS This case was filed with the National Association of Securiti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUTJTIES DEALERS In the Matter of the Arbitration Betvreen Maine of ClainaptX^ Vv*3m E. and Carol L. Burford, Robert A. and Diane E. Nefwscsra, JxTEN Claimants 88- 03185 consolidated with 89- 00973 and J. W. Gant and Associates, Inc. Respondent and Cross Claimant and John YaJdimczyk Cross-Claim Respondent CASE SUMMARY In a claim filed with tr.a NASD on or sboct July 25, 1989, Vvf

NATIONAL ASSOCIATION OF SECURITIES DEALEH:;, IMC In the Matter of the Arbitration Between Nancy E. Rynearson vs . Beacon Investment Company Claimant Respondent : ChSEli 88-03050 AWARD CASE SUMMARY Claimant alleges that Respondent made un.' not in line with her stated investment objeci her account was churned. Respondent denies contends Claimant was fully apprised of hei risks associated with purchasing stock, portfolio lo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04433 Jay V. Grimm, claimant vs. Gruntal, A Division of Ryan, Beck & Co., respondent. ATTORNEYS: Claimant appeared pro se, New York, NY. For Respondent appeared in-house counsel, Michele Goldmeer, Esq., Scarsdale, NY. DATE FILED: July 29, 2002 CASE SUMMARY: Claimant alleged that respondent was negligent in making investment recommendations. Claimant maintained that due to respondent's ac

NATIONA!. ASSOCIATION OF SECURITIES DEALERS, INC. CASE NO. 88-03018 In the Matter of the Aro-itration Between CHARLES SCHWAB & CO. , -NC Ci aimant and GREG P. BACK Respondent ROBERT HENRIKSEN Third-Party Respondent CASE SUMMARY In a Statement Claim filed with the NASD on September 26, 1988, Charles Schwab & Co., Inc. ("Schwab") alleged that the failure of Respondent Greg P. Back ("Back") to satisfy th** debit balance in his accou

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David E. Harrah Claimant(s) vs. Jensen, Hahn & Urquhart f/k/a Norcap Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-02991 CASE SUMMARY Claimant David E. Harrah alleged that Respondent Jensen, Hahn & Urquhart f/k/a Norcap Securities, Inc. failed to pay Claimant commissions which amounted to $1,217.02. Respondent maintains that it n

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between James Lafratta Mark Jozefowski Maureen Harrison Mary Harrison Michael Sullivan Sergio Derojas Mark Marshall Claimants vs. Brooks, Weinger, Robbins & Leeds, Inc, Carol Martino Respondents CASE'S # 88-02977 88-02978 88-02979 88-02980 88-02981 88-02982 88-02983 CASE SUMMARY The Claimants alleged that Respondents fa