MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between HARVEY E. LEHN and JOAN M. LEHN Claimants, v. GENE LANTON, Respondent. ^ : ^ .OCr 9 1992 pz q '- ^ AWARD MS91-94 SCl-035 The Undersigned, pursuant to Section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimants allege, among other things, that they were overcharged by the Respondent, a representative of

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimant, V. VAN KAMPEN MERRITT INC. and JAMES M. KOHUIEYER, Respondents. iJUN 12 1991 r • ^ AWARD MS 90-68 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimant, a national bank located in the State of Illinois, contends that Respondents violated various SEC and Exchange rules and Federal law

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimant, V. BOETTCHER & COMPANY, INC., NOW BOETTCHER & COMPANY, A DIVISION OF KEMPER SECURITIES GROUP, INC. and JOHN GIVENS, Respondents. SEP ^3 1991 M C ^ =^ itka Wi S'..^ tjf AWARD MS 90-67 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimant alleges that at the end of Apri

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Broadband Capital Management, LLC, (Claimant) vs. Robert Tucker, (Respondent) Case Number: 01-03352 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Broadband Capital Management, hereinafter referred to as "Claimant": Louis H. Miron, Esq., Attorney at Law, Westfield, NJ. Previously represented by: Michael S. Colombo, President/CEO, Street Wide Asset Recovery

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimant, V. MARION BASS SECURITIES CORP. and CHARLES L. KING a/k/a CASEY KING, Respondents. ''-.. :b JUL 1 f99| l " : ^- "^ - > AWARD MS90-66 SCO-039 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY On or about July 27, 1986 Claimant purchased for $81,084.00 through Respo

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between PHIL LITSAS, JR., V. ROY SMITH and PAUL ROSENBLOOM, Claimant, Respondents. AWARD MS90-65 SCO-038 The Undersigned, pursuant to Section 31 of MSRB Rule G-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED Claimant alleges that at the end of October or the beginning of November, 1989, one or both of the Respondents contacted Claimant with an

MUNICIPAL SECURITIES RULEMAKING BOARD /^ APR £2 1991 In the Matter of the Arbitration between CARL RAVENS and LILLIAN RAVENS, Claimants, V. MUNICIPAL INVESTORS SERVICE, INC., Respondent. f- • I' AWARD MS90-61 SCO-035 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED On April 23, 1987, for settlement April 30, 1987, Claimants purchased from Respon

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between MARGARET C. ROCK, v. Claimant, A.G. EDWARDS & SONS, INC. Respondent. JUL 9 199, AWARD MS90-59 SCO-034 The Undersigned, pursuant to Section 31 of MSRB Rule G-35, hereby states as follows: CASE SUMMARY Claimant alleges that certain municipal bonds declined in value shortly after the time of Claimant's purchase of the bonds from Respondent and bas

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimants, v. ERWIN ALLEN FORGES and GRUNTAL & CO,. INC. Respondents. ^ - ^ .. fi NOV r- 18 AWARD MS 90- • 1 . 1 / . 58 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimants allege, among other things, that Respondent Gruntal & Co., Inc. ("Responden

MUNICIPAL SECURITIES RULEMAKING BOARD In the Natter of the Arbitration between Claimant, V. SAMUEL A. RAMIREZ & CO., INC. AND THOMAS PERROTTA Respondents. AWARD MS90-56 SCO-033 The undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY In the above-captioned arbitration. Claimant alleges that on March 30, 1990, Respondent Thomas Perrotta ("Respondent Perrotta"), a representative of Respo