NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between DEAN WITTER REYNOLDS. INC., Claimant, vs . CHRIS AND NADIA HIONIDES. Respondents Case /87-02538 Award Heard befort; the members of the Arbitration Panel: Guy E. (Sandy) Burnette, Esq. Sam Giunta Joseph G. Ltinanna CASE SUMMARY This claim was filed with the NASD, Inc. on December 9, 1987. The hearing was conducted in Tampa, Florida on Febru

NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Arthur N. Saulino vs. Claimant Award 87-02379 John Swafford & James Swafford Respondents The undersigned, being the arbitrator 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 November 27, 1987, February 19, 1988 and February 19, 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward and Ethel McGall Claimants vs. Shearson Lehman Brothers, Inc. Respondent -. AWARD #87-02246 Case Summary Edward C. McGall and his mother Mrs. Ethel McGall claims against Shearson Lehman Brothers, Inc. ("Shearson") arise from the offer and sale of two limited partnerships -- Damson Oil & Gas Income Fund 84-1 and Balcor Limited Partnership. In 1983

Repinn // () Volume_i_, Number Arbitration N.A.S.D. AWARD NATIOJAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration.Between hfrpp rf naimant./s) Rauscher Pierce Refsnes, Inc. and W. Leighton Stalloms Lmett, JVGtelieil, WeJsb & Garrison and Interregicnal Financial Gtoxip National Association of Securities Dealers. Inc. Suite 1680 Three First National Plaza Chicago, IL 60602 (312) 899-4440 87-022

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between JEFF M. BROWN, Claimant, vs. FIRST JERSEY SECURITIES, INC., ROBERT E. BRENNAN and MICHAEL FURFARO, Respondents Case /87-0Z17A Award Heard before the members of the Arbitration Panel: Casey W. Mills, Esq. Ms . Judy Avey Mr. Terrence W. Grant CASE SUMMARY This claim was filed with the NASD, Inc. on November 10, 1987. The hearing was c

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frances Delano, Claimant vs. Thomson McKinnon Securities, Inc., and Don D. Nardone, Respondents Case #87-02050 Award CASE SUIWARY Claimant, Frances Delano, alleged that Respondent, Don D. Nardone, sold to the Claimant limited partnership interests in Damson/Birtcher Realty Income Fund-1 and Southmark Equity Partners, Ltd. which were contrary t

Volume. p{,_, Number Y Ye;ir 9t NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stephen R. Fellows and PaineWebber Incorporated Claimant(s) Respondentis) CASE NO, 87-02045 CASE SUMMARY Stephen A. Fellows ("Claimant") alleged that an agent of PaineWebber Incorporated ("Respondent") misrepresented the risks and return of a gold coin investment and Respondent is 1iable on the basis of Respondea

Region M HH Volume 2^ , Number Year 90 :'ATIO«AL ASSOCIATION CF SECURITIES DEALERS, IHC. In the Matter of Arbitration cetween S. RAY 5 LELA F. RAY, -r V. £i:WA:S':5 D. JOHES & CO. Respond srit HASO NO. 87-02040 Hardin S. Ray anc '.rla F, Ray ("Claimants") alleged that caward D, vlones & Co. ('Ksspondent") misrepresentated their '^ICODO.OO- Petro-Lewis I'i-estment, that such investment was unsuitable for the Claimant:- in light of th

Region. Volume^ , Number. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Year • In the Matter of the Arbitration Between ROBERT E. and RUTH ANN JONES, vs . FIRST JERSEY SECURITIES, INC., ROBERT E. BRENNAN and MICHAEL KOVEN, Claimants, ) ) ) Case #87-02017 ) Award ) Respondents Heard before the members of the Arbitration Panel: CASE SUMMARY This claim was filed with the NASD, Inc. on October 23, 1987. The hearing

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Yutaka and Eiko Niihara, Shinyuki and Hideko Okamura, Takako Nakamoto, and Hatsue and Satoru Fukudome, Claimants v. Thomas Green Securities, Inc. and Ryuzo Nitta, Respondents Case Number: 02-03839 Hearing Site: Los Angeles, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Tomio Kadomatsu Los Angeles, Califo