CASE ; AMERICAN STOCK EXCHANGE IN THE rilATTER OF ARBITRATION BETWEEN ' TETER AND NEVIA BENCICH V. I.. F. ROTHSCHILD & COMPANY, INC. AND VINCJiNT NOVAK ^f^-02^ D/.TE FILED: gi»pt. 26.198B FIRST SCHEDULED May 31.1989 DECIDED Mny "^1 ,. 1 qB9 CASE SUMMARY: * Customer v. Member dlsput.e Involving stocks. Claimant ts_.a 1 leglnq unsuitability and failure to supgyvisa gn the pai;t: of tihg firm. Thcro_ were no punitive damages or attorney fee requeata in

MUNICIPAL SeCURITieS NULEMAKING BOARD FEB £5 1993 In the Matter of the Arbitration between V. DEAN WITTER REYNOLDS, INC., Claimants, Respondent. AWARD MS 91-85 The Undersigned, pursuant to Section 31 of MSRB G-25, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED Claimants allege, eunong.!&ither things, that Respondent breached its contract with Claimants when Respondent failed to deliver $150,000 face amount of WASHINGTON

; MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between NORMAN E. MCMURRY, V. Claimant, FIRST AMERICAN SECURITIES, INC., Respondent. L.. . AWARD MS 91-84 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY On October 29, 1990, Claimant purchased from Respondent $10,000 face amount of West Harris County, Texas, Municipal Utility District No. 7 Water

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimant, v. FIRST ASSOCIATED SECURITIES GROUP, INC. and MARC MILLER, Respondent. DEC 15 1W2 AWARD MS91-B0 SCl-029 The Undersigned, pursuant to Section 31 of MSRB 6-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED On or about June 19, 1991, Claimant purchased from Respond- ent Marc Miller ("Respondent Miller"), a representative o

.OCT 9 1992 MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between G. WILLIAM SMITH and JEAN E. SMITH, Claimants, V. MORTON E. WOLVERTON and PAINEWEBBER, INC., Respondents. ^ •tjtiJm AWARD MS91-77 SCl-027 The Undersigned, pursuant to Section 31 of MSRB G-35, hereby states as follows: CASE SUMMARY Claimants allege, among other things, that Respondents represented that certain New York Ci

MUNICIPAL SECURITIES RULEMAKING BOARD QCr In the Matter of the Arbitration between DONALD BURD and MARION BURD, v. Claimants, KEOGLER, MORGAN & COMPANY, Respondent. AWARD MS91-73 SCl-025 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED On 11/10/83, Claimants purchased from a broker/dealer other than the Respondent $10,000 face amount of EAST TEXAS HSG FIN C

MUNICIPAL SECURITIES RULEMAKING BOARD LbLI ) C MAR 24 1993 In the Matter of the Arbitration between MARY E. HIDGLEY, v. EUGEME LANTON, Claimant, Respondent. M.S.R.B. AWARD MS91-72 SCl-024 The Undersigned, pursuant to Section 31 of MSRB Rule G-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED In this small claim to be decided on the papers submitted, Claimant seeks damages of $5764 plus interest a

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimants, v. DOUGHERTY, DAWKINS, STRAND 6 BIGELOW, INC., F/K/A DOUGHERTY, DAWKIMS, STRAND & YOST, INC. Respondent. JAN 12,^ AWARD MS 91-71 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: SUMMARY OF ISSUES Claimants charge Respondent with actual and/or constructive fraud; misrepresentations and/or omissions; and

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimants, v. DOUGHERTY, DAWKINS, STRAND & BIGELOW, INC., F/K/A DOUGHERTY, DAWKIMS, STRAND & YOST, INC Respondent. JAN ss i;,} AWARD MS 91-70 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimants allege misrepresentations and/or omissions of material facts by Respondent in connection with the

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter F. Ochoa, Claimant v. Morgan Stanley DW Inc. and Jason C. Powers, Respondents Case Number: 01-03363 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard Sacks Irwin Stein Timothy A. Canning, Esq. Novato, California For Respondents: Jill B. Rowe, Esq. Cooper, Whit