Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Names of Claimants Edna Procopio and Edna Procopio Irrevocable Life Insurance Trust Case Number-- 01-03360 Names of Respondents Susan B. Allen, Lincoln Investments Planning Inc., Susan B. Allen and Jane E. Kleibert Associates, FSC Securities Corp., American General Financial Group, American General Life Insurance Company, and American General Securities. Nam

MUNICIPAL SECURITIES RULEMAKING BOARD APR 6 mi In the Matter of the V. MICHAEL D. BERLOFF, Arbitration between : Claimant, : Respondent. : ik>;«U AWARD MS 91-38 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimant alleges that Respondent Michael D. Berloff, a registered representative of Prudential-Bache Securities, Inc., failed to follow Claimant's investment o

MUNICIPAL SECURITIES RULEMAKING BOARD SEP 12 1991 In the Matter of the Arbitration between JOHN A. SULLIVAN and CAROLYN M. SULLIVAN, Claimants, v. HARVEY DANIELS and JOHNSTON, BROWN, BURNETT & KNIGHT, INC., Respondents. AWARD MS91-37 SCl-016 The Undersigned, pursuant to Section 31 of MSRB Rule G-35, hereby states as follows: CASE SUMMARY Clainants allege in their Statenent of Clain that Respondent Harvey Daniels (

MUNICIPAL SECURITIES RULEMAKING BOARD * • ly w^ fy^ In the JOHN A Matter of V. . LABAK, the Arbitration between : Claimant, : Respondent. : AWARD MS91-36 SCl-015 The Undersigned, pursuant to Section 31 of MSRB Rule G-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED Claimant alleges, anong other things, that Respondent John A. LaBak, a representative of McLaughlin, Piven, Vogel Securities, Inc.,

MUNICIPAL SECURITIES RULEMAKING BOARD MAR 2' ^^ - • rt T» "5 In the Matter of the Arbitration between PETER L. RICHARD, Claimant, V. MICHAEL P. DOWD and BEAR STEARNS & CO., INC. Respondents. AWARD HS91-35 SCl-014 The Undersigned, pursuant to Section 31 of MSRB Rule G-35, hereby states as follows: CASE SUMMARY The above-captioned natter concerns Clainant's purchase, on March 1, 1991, of $35,000 New York State Urban

MAY /: 1992 MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimant, V. SUNPOINT SECURITIES, INC.; JOEL KING and CANTELLA & CO., INC.? Respondents. Itua'wi AWARD MS91-34 SC1-013 The Undersigned, pursuant to Section 31 of MSRB Rule G-35, hereby states as follows: CASE SUMMARY Claimant alleges that on June 22, 1990, Claimant purchased from Respondent Joel King ("Respondent King"), a represent

/; MUNICIPAL SECURITIES RULEMAKING BOARD MAR 27 1992 In the Matter of the Arbitration between Claimants, v. BOETTCHER & COMPANY, INC., A DIVISION OF KEMPER SECURITIES GROUP, INC., Respondent. ' V* • iiaa J% AWARD MS 91-33 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY In the above-captioned natter. Claimants allege that Respondent made an unsuitable recommendation

T™ MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between W.A. WOOD, V. A. JACK BURNEY and FIRST AMERICAN SECURITIES, INC., Claimant, Respondents. NAY 18 1992 f •; < •> '•^ a^ AWARD MS 91-31 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant alleges, among other things, that Respondent A. Jack Burney, a representative of Res

MUNICIPAL SECURITIES RULEMAKING BOARD JAN 29 i ; In the Matter of the Arbitration between Claimants, v. RICHARD BUR6I0; CLARA MAORI; SYLVESTER MAYO; EUGENE B. HARPER and INVEST FINANCIAL CORP., Respondents. AWARD MS 91-30 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimants allege, among other things, that they have not received principal and interest owed them on a $10,000

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter FRED HURD, V. ADVEST, INC., of the Arbitration between Claimant, Respondent. NOV 80 1992 M.S.R.B. AWARD MS91-93 SCl-034 The Undersigned, pursuant to Section 31 of MSRB Rule G-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED Claimant alleges, among other things, that on 5/11/90 he purchased from Respondent $15,000 face amount of Kentucky State T