MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimant, V. STEVEN D. IRCHA and MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC., Respondents. AWARD MS 91-9 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant alleges that, on or about December 26, 1989, Respondent Steven D. Ircha ("Respondent Ircha"), a representative of Respondent McLaughlin, Piven,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Global Capital Markets, LLC & Philip DeGaetano (Claimants) v. Truck Stop of Rhode Island, Inc., and Thomas A. Gotauco (Respondents) Case Number: 01-03353 Hearine Site: New York. New York Nature of the Dispute: Member and Associated Person vs. Customer. REPRESENTATION OF PARTIES Claimants Global Capital Markets, LLC ("Global Capital") and Philip DeGaetano ("DeGaetano"), hereinaft

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Donald Wood and 00-01203 Indianapolis, Indiana Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Dennis Pauwles REPRESENTATION OF PARTIES Donald Wood ("Claimant") was represented by Thomas A. Hargett, Esq. And Andrew Stoltman, Esq., Maddox Koeller Hargett & Caruso, Indianapolis, Indiana. Merrill Lynch Pierce Fenner & Smith, Inc.

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimants, V. POWELL & SATTERFIELD, INC. AND MICHAEL TOGNETTI Respondents, IDCl 8 W AWARD MS91-8 SCl-006 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Clainants allege that, on August 14, 1990, Respondent Michael Tognetti ("Respondent Tognetti"), a representative of Respondent Powell & Satterf

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between RALPH M. OBLER and JUNE M. OBLER, V. Claimants, A.F. GREEN & CO., INC. and GENE LANTON, Respondents. NOV 5 1991 AWARD MS 91-6 SCl-004 The Undersigned, pursuant to Section 31 of MSRB Rule G-35, hereby states as follows: CASE SUMMARY In their Statenent of Clain, Clainants allege that in February, 1988, they purchased fron Respondent A.F. Gree

MUNICIPAL SECURITIES RULEMAKING BOARD rCr-n\ ,,K I . DcO 9 199, In the Matter of the Arbitration between BUFORD T. CASEBOLT, M.D., V. Claimant, PRUDENTIAL-BACHE SECURITIES INC. and GREG FULTON, Respondents. AWARD MS 91-3 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY On June 6, 1988, Clainant purchased fron Respondent Greg Fulton ("Respondent Fulton"), of the D

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between PAUL BAHOR; EMERY BAHOR and MELKA BAHOR, Claimants, V. A.F. GREEN & CO., INC.; ALLEN GREEN; ROBERT BRAND and ANNETTE RICHMOND, Respondents. SEP .?? 1991 r- AWARD MS 91-2 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY claimants allege, among other things, that in August, 1988, Clainant Paul Baho

SEP SO 1991 MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitrat.ion between ART MOSHER A/K/A ARTHUR J. MOSHER, V. Claimant, DAIN BOSWORTH, INC., Respondent. '••C AWARD MS 91-1 SCl-001 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED Clainant seeks to recover $5275 fron Respondent for alleged fraudulent sales practices in connection w

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between JOHN L. MARTIN, JR. and VIRGINIA M. MARTIN, Clainants, V. A.F. GREEN & CO., INC., Respondent. AUe 81 IJ}, k "'-••, *^» ««a ^« AWARD MS90-72 SCO-041 The Undersigned, pursuant to Section 31 of MSRB Rule G-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED clainants allege that on March 25, 1987 they invested $5,049.10

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimant, V. SHEARSON LEHMAN BROTHERS INC. a/k/a SHEARSON LEHMAN HUTTON, AN AMERICAN EXPRESS COMPANY, and DAVID BRADLEY, Respondents. 5EP 30 1991 AWARD MS 90-71 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimant alleges that Respondent Shearson Lehnan Brothers Inc. a/k/a Shearson Lehnan Hutton,