IW 22 1992 MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between ARTHUR F. JONES and THERESA E. JONES, Claimants, V. MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC., and ROBERT BRAUN, Respondents. AWARD MS91-66 SCl-022 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED Claimants protested a $50 annual service fee charged to their account by

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimants, v. RONALD S. MC6RATH; EDMUND SINGER; FRANK 6. ZARB and JAMES MAROMEY, Respondents. NOV 20 1992 AWARD MS91-61 SCl-021 The Undersigned, pursuant to Section 31 of MSRB Rule G-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED Claimants maintained a joint account at Smith Barney's West Palm Beach office with account executive. R

V.A'Ci^A- =ttut^ ''ES =„-EWAn '.; SOARD In the Matter of the Arbitration between Claimants, v. ROBERT ROSENBERG and NORRIS & HIRSHBERG, INC., Respondents. OCT 18 1992 "•" .'^ *•   r \ r- Hf. n .. ».. AWARD MS 91-60 The Undersigned, pursuant to Section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimants allege, among other things, that Respondents recommended certain mu

MUNICIPAL SECURITIES RULEVIAKING BOARD Sir- • * ^f\ In the Matter of the Arbitration between WALTER F. WISCHHOVER C/F CHRISTOPHER WISCHHOVER (A MINOR), Claimant, V. THOMAS B. SAVILLE; THOMAS P. ENGLISH and MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC., Respondents. t AWARD MS91-59 SCl-020 The Undersigned, pursuant to Section 31 of MSRB Rule G-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED Claimant all

m. » 4 1992 MUNICIPAL SECURITIES BULEMAMNG BOARf In the Matter of the Arbitration between Claimant, V. ROBERT J. KENGOTT and GRIFFIN, KUBIK, STEPHENS AND THOMPSON, INC., Respondents. RLCriwBh AWARD MS 91-56 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant alleges that Respondents made misrepresentations and omissions of material facts in connection with the

MuN'Ci^AL SECURITIES RULEVAMNG BOARD SEP 2 W92 In the Matter of the Arbitration between Claimant, V. GRIFFIN, KUBIK, STEPHENS AND THOMPSON, INC., Respondent. AWARD MS 91-55 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimant alleges that Respondent made misrepresentations and omissions of material facts in connection with the sale to Claim- ant of the following municip

< ^-, •"^ '•». < k -\ |IK( Vi IW MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimants, V. BOETTCHER & COMPANY, A DIVISION OF KEMPER SECURITIES GROUP, INC and JOHN T. WOLFF, Respondents. I AWARD MS 91-50 .J* The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimants allege that on or about June 13, 1988, Respondent Joh

'NAY 28 1992 MUNICIPAL SECURITIES RULEMAKING BOARD .?; «»• In the Matter of the Arbitration between MARVIN GELBER, Claimant, v. LFG INVESTMENTS, INC., FORMERLY LANDMARK INVESTMENT SERVICES, Respondent. AWARD MS91-48 SCl-018 The Undersigned, pursuant to Section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant alleges that on 7/30/85 Claimant purchased from Respondent $90,000 MARYLAND HLTH & EDL FAC

fHfiV •• *l MUNICIPAL SECURITIES RULEMAKING BOARD NOV 18 W2 In the Matter of the Arbitration between Claimant, v. BOETTCHER & COMPANY, A DIVISION OF KEMPER SECURITIES GROUP, INC., Respondent. AWARD MS 91-44 The Undersigned, pursuant to section 31 of MSRB rule 6-35, hereby state as follows: CASE SUMMARY Claimant alleges, among other things, claims for violations of Section 12(2) of the Securities Act of 1933, Section 10(b)

MUNICIPAL SECURITIES RULEMAKING BOARD **'' M; In the Matter of the Arbitration between : • • V. PAUL J. BAUiON, JR., Claimants, : Respondent. : AWARD NS91-42 SC1-017 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY On March 17, 1988, Claimants purchased fron Respondent Paul J. Ballon, Jr., at the tine a registered representative of Swink & Conpany, Inc., $5,000 face ano