MUNICIPAL SECURITIES RULEMAKING BOARD Ji'Nio m\ P c - ^ In the Matter of the Arbitration between Claimant, v. MILLER & SCHROEDER FINANCIAL, INC. and CHRISTOPHER C. DECKAS, Respondents. AWARD MS90-48 SCO-030 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant alleges that in late 1984 or early 1985, and again in December, 1985, he contacted Respondent Christopher C

MUNICIPAL SECURITIES RULEMAKING BOARD «Aft .in - 1% 1991 In the Matter of the Arbitration between Claiaants, V. AMERIFIRST SECURITIES CORPORATION Respondent. AWARD MS90-47 SCO-029 The UndersiKned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED Claimants al $50,000 face amount Respondent, Responde knowledge or consent 104 1/2 and subseque due Claima

16 f99r MUNICIPAL SECURITIES RULEMAKING BOARD ^^MB. In the Matter of the Arbitration between Claimant, v. ROBERT PEELE and MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., Respondents. AWARD MS 90-46 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, alleges that Robert Peele ("Respondent Peele"), a registered representat

MUNICIPAL SECURITIES RULEMAKING BOARD •.U .- •..•UN f(;J- J m 3 1991 In the Matt LEO LANGSAM V. LEGG MASON and RAY F. er of 1 HOOD PECK, the Arb WALKER, JR., itrat INC. ion between : Claimant, Respondents. •'•• •' . v% i'ima ^a mii uJt AWARD MS90-45 SC0-02B The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Luis F. Sustache, (Claimant) vs. Invest Financial Corp., Banco Popular de Puerto Rico, and Carlos Rodriguez, (Respondents) Case Number: 01-03351 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Luis F. Sustache, hereinafter referred to as "Claimant": Anthony J. Horn, Esq., a sole practitioner, New York, NY. Respondents, Invest Financial Corp. ("Invest"), Banc

^ APR 17 1991 MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between FRANK W. KENDRICK AND EDITH M. KENDRICK Claimants, v. CHARLES HURSEY AND MARION BASS SECURITIES, CORP. Respondents, e - -» 'iaWvruf u/a AWARD MS90-44 SCO-027 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimants allege that on August 29, 1989 they received a call fr

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimant, V. JERSEY CAPITAL MARKETS GROUP, INC. Respondent. AWARD MS90-41 SCO-026 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED Claimant alleges that on 10-19-89 he instructed Respondent, to deliver certain municipal bonds from his account at Respondent to another broker/dealer for se

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between MATTHEW JOHNSON, Claimant, V. SHEARSON LEHMAN BROTHERS INC. A/K/A SHEARSON LEHMAN HUTTON INC., Respondent. AWARD MS90-40 SCO-025 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED Claimant instituted the captioned controversy on or about July 6, 1990 alleging, among other things, that

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimant, V. BLUNT ELLIS k LOEWI, INC., AND ROBERT D. GAGNON, Respondents, AWARD MS90-39 SCO-024 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant alleges that on 9-11-86 Respondent Robert D. Gagnon called and stated that he had a very good bond to sell: Madison Wis IDR, Divall Hamilt

MUNICIPAL SECURITIES RULEMAKING BOARD r c —• ^ ^ • ^ In the Matter of the Arbitration between Claimants, V. DAVID LERNER ASSOCIATES, INC., A.F. MEERE AND G.T. JAFFEE Respondents. AWARD MS 90-38 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimants allege that in March, 1989 they established an account with Respondent David Lerner Associates, Inc. ("DLA") and on