MUNICIPAL SECURITIES RULEMAKING BOARD UUN19 1992 In the Matter of the Arbitration between GEORGE J. LINDENBAUM V. SMITH CULVER, INC. Claimant, Respondent. AWARD MS91-90 SCl-033 The Undersigned, pursuant to Section 31 of MSRB G-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED Clainant alleges, in substance, that Respondent withheld material infomation with respect to a sinking fund redenption provision applicabl

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between JAMES E. SIMONS and MARGARET SIMONS, Claimants, V. HENRY FYFE; MUNICIPAL SECURITIES, INC. and TIM SHEFFIELD, Respondents. hi:: AUG 19 199? i4' AWARD MS 91-89 • o p n The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY claimants allege, among other things, that Respondents failed to ad

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimant, V. DOUGHERTY, DAWKIMS, STRAND & YOST A/K/A DOUGHERTY, DAWKINS, STRAND & BIGELOW, INC., Respondent. iFEB 24 W95 AWARD MS91-88 SCl-032 The Undersigned, pursuant to Section 31 of MSRB G-25, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED Claimant alleges, among other things, that Respondent failed to disclose certain default informat

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between JEROME H. DEBS, Claimant, V. SMITH BARNEY, HARRIS UPHAM & CO., INC., Respondent. m 22 1992 IB ft !^ 1^ AWARD MS 91-28 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimant alleges, among other things, that Claimant requested that Respondent arrange and execute a bond swap in December, 1989

MUNICIPAL SECURITIES RULEMAKING 80AR0 NOV 25 1992 M.S.R.B. In the Matter of the Arbitration between Claimant, v. DAVID H. STEIN; GLICKENHAUS fc CO.-NEW JERSEY and FIRST INSTITUTIONAL SECURITIES CORP., Respondents. AWARD MS 91-24 The Undersigned, pursuant to Section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant alleges, eunong other things, that Respondent Stein reconunended that Claimant purchase certain m

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between AUGUSTINE BELARDO, V. Claimant, MILLER & SCHROEDER FINANCIAL, INC., Respondent. SEP 8 M.S.H AWARD MS91-20 SCl-008 /N. 1991 The Undersigned, pursuant to Section 31 of MSRB Rule G-35, hereby states as follows: CASE SUMMARY Clainant alleges, anong other things, that Respondent gave Clainant false and nisleading infomation in connection wit

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between CAMERON J. SYKE and SUSAN R. SYKE, Claimants, v. BOETTCHER & COMPANY, INC. a/k/a BOETTCHER & COMPANY, A DIVISION OF KEMPER SECURITIES GROUP, INC. and RICK HARRISON, Respondents. Ll f M.S.^.B. AWARD MS91-19 SCl-007 The Undersigned, pursuant to Section 31 of MSRB Rule G-35, hereby states as follows: CASE SUMMARY Claimants allege that on May 5

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between HAWLEY W. RILEY, V. Claimant, BRENT RIPLEY and SUMMIT INVESTMENT CORPORATION, Respondent. APR 22 1992 AWARD MS 91-18 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Clainant alleges that Respondent Brent Ripley ("Respondent Ripley"), during the course of his enploynent (1985-86) as a registered r

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between CRAWFORD MAXSON, V. Claimant, A.G. EDWARDS & SONS, INC. AND JAMIE SOLOW, Respondents. i ifc*. . . s ^ , JUN15 1992 AWARD MS 91-14 The Undersigned, pursuant to section 31 of MSRB xnile G-35, hereby state as follows: CASE SUMMARY Claimant alleges, among other things, that Respondents Jamie Solow ("Respondent Solow") and A.G. Edwards & Sons, Inc.

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimant, V. PRUDENTIAL-BACHE SECURITIES, INC. and RAY TUCKER, Respondents. AWARD MS 91-10 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Clainant alleges, anong other things, that Respondent Prudential-Bache Securities, Inc. ("Respondent Prudential") and its fomer account executive Respondent Ray Tucke