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

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant(s) vs. Norman Kremer vs . Edward A. Sui and Robert B. Hecker Respondent(s) NOTICE OF ARBITRATiaW AWARD 87-02885 CASE SUMMARY Claimant(s) Dean Witter Reynolds, Inc. alleged that Respondent(s) Norman Kremer refused to return funds that were mistakenly placed in his account. Norman Kremer maintains that Respo

Case *87-02f!66 Awa cd NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between AMERICAN GOVERNMENT CERTIFICATES & FUND CORP., Claimant, vs . MCG PORTFOLIO MANAGEMENT CORP., GOVERNMENT SECURITIES DEALERS. OPPENHEIMER GOVERNMENT SECURITIES. INC., and THOMSON MC KINNON SECURITIES, Respondents. CASE SUMMARY This claim was filed with the NASD. Inc. on December 30. 1987. The hearing was conducted in Fort

N.A.S.D. AMARD NATIOJAL ASSOCIATiai OF SECURITIES DEALERS in the Matter of the Arbitration Between l^yne of Claimantfs) Oppenheijner & Co., Inc. 87-02800 Graziano, Dennis National Associatkin of Sacuritlas Daalan. Inc. Suite 1680 Three First National Plaza Chicago, IL 60602 (312) 699-4440 Carl Mlto CAS SOMRT Oppenheijner & Co., Inc. ("Claimant") alleged that Dennia Graziaro ("Regpondant") waa li^le to the Clediwtnt for tha

Case #87-0276? Award NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Marsh Block & Co., Inc., Claimant, vs. Timnthy R. Harbuck, Respondent. CASE SUMMARY This claim was filed with the NASD, Inc. on December 22, 1997. The hearings were conducted in Tampa, Florida on April 10, 1989 and May 23, 1989, with a total five (5) sessions. Claimant, March Block & Co., Inc. ("MB") alleged that Respondpnt. T

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Roberta Engelmann and Claimant(s) Armin Rosencranz vs. Kennedy, Cabot & Co., Inc. Respondent Case #87-02721 Award Heard before the members of the Arbitration Panel: On May 9, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant on December 14, 1987, and by Respondents on M

OS.. 29. SO 04:3TPM: *NAaiD O 1 9T, Na . m PC? NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ot the Arbitration between ) PAINEWEBBER, INC. ) Claimant and CASE NO. 67-02604 H.O, BARNHOUSE and JANICE BARNHOUSE Respondents CASE SUMMARY In a claim filed with the NASD on December 14, 1987, Claimant PaineWebber, Incorporated alleged that Respondents Barnhouse and Janice F, Barnhouse were customers of Claimant-, Claimants furthe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Merrimack College Federal Credit Union, Claimant vs. Prudential Bache Securities, Inc. and Stanton Pierce, Respondents Case #87-02589 Award Heard before the members of the Arbitration Panel Peter P. Harrington, Jr, John B. Kinsellagh, Esq, James E. Fox Esq. On March 31, 1989 and May 8, 1989, the undersigned arbitrators heard the contro

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Marvene Carey and Names of Respondents Prim Securities, Incorporated, Timothy F. Brown, John M. Bixler, and Michael C. Brady Case Number: 02-03846 Hearing Site: Nashville, Tennessee NATURE OF CASE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Marvene Carey ("Claimant") was represented by Kalju Nekv

'^\0\\(< A NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between \ Herma Royak Claimant(s) vs . Dean Witter Reynolds, Inc. Respondent(s) AWARD 87-02585 The Arbitrator, Langdon T. Owen, Esq., selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on December 9, 1987 and April 13, 1988,