MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter DAN SHANNON JOHN GORMAN of V. the Arbitration between : Claimant, : Respondent. : E$.R 7 % AWARD MS90-37 SCO-023 The Undersigned, pursuant to section 31 of MSRB G-35, hereby states as follows: CASE SUMMARY Claimant alleges that on June 2, 1989 he purchased from Respondent, a representative of APS Financial Corporation, $25,000 face amount Maricopa Cou

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Aribtration between KARL DUTCZAK Claimant, V. MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. AND THOMAS DICKENS Respondents. AWARD MS90-35 SCO-021 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant alleges that on 9-2-88 he purchased from Respondent Thomas A. Dickens ("Respondent Dickens"), a representative of Res

MUNICIPAL SECURITIES RULEMAKING BOARD In th.er •^.etter of the Arbitration between Claimants, V . A.F. VBXST SECURITIES, INC. and BRUCE - TABATCHNICK, Respondents. AWARD MS90-34 SCO-020 The Umiift Stat signed, pursuant to section 31 of MSRB rule G-35, hereby follows: CASE SUMMARY Claimants allege that they agreed to purchase certain munict-=?>el bonds from Respondents at a dollar price of 110, but later xiiscovered th

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between V. JASON N. CINDER and OPPENHEIMER & CO., INC., Claimant, Respondents. mib APR 16 1991 iVsiaV«... _ • AWARD MS 90-32 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: -' CASE SUHMARY Claimant alleges that in October, 1988, he purchased from Drexel Burnham Lambert ("Drexel"), through its registered represent

,. -'.) rti MUNICIPAL SECURITIES RULEMAKING BOARD 1591 * • •. s r_ -• ^..-4 In the Matter of the Arbitration between V. MICHAEL STEIN, Claiaants, Respondent. AWARD MS90-29 SCO-019 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimants allege that, in February, 1988, after doing their taxes for 1987, they were unhappy with the amount of taxes

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03349 Jerry L. Bass IRA Name of the Respondent Hearing Site: New Orleans, LA UBS PaineWebber, Inc. REPRESENTATION OF PARTIES For Jerry L. Bass IRA ("Bass"), hereinafter referred to as "Claimant": L. Jerome Stanley, Esq., Baton Rouge, LA. For UBS PaineWebber, Inc. ("UBS"), hereinafter referred to as "Respondent": Wes Holston, Esq., UBS, Ft. Lauderdale, F

MUNICIPAL SECURITIES RULEMAKING BOARD Fc3 6 199: In the Matter of the Arbitration between HARRY G. HILL and ARDIS F. HILL, Claimants, v. MILLER & SCHROEDER MUNICIPALS, INC. and ROGER K. ERAL, Respondents. AWARD MS90-24 SCO-016 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED The Claimants claim that they were induced by the Respond- ents to exchange certain

* — - •• •   ^ m ^ JiN 30 1991 MUNICIPAL SECURITIES RULEMAKING BOARD In the 1 CHARLES HALPERT R HOWARD Matter of and V. ELLEN the Arbi tration between DUWE, and KEVIN M. DUWE, Claimants, AND COMPANY, espondent and V. PARKER, INC. Third-Party Claimant, Third--Party Respondent. AWARD MS90-23 SCO-015 The Undersigned, pursuant to section 31 of MSRB rule G-35, her

MUNICIPAL SECURITIES RULEMAKING BOARD ^r.—» •N m 7 1991 In the V ADAMS, Matter • BLOCK of the Arbitration between Claimant, k COE SECURITIES, INC. : • Respondent. i uj^i AWARD MS90-16 SCO-010 The undersigned, pursuant to section 31 of MSRB rele G-35, hereby states as follows: CASE SUMMARY In connection with his purchase from Respondent on May 24, 1989, of 25,000 face amount of North

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between MILTON GRALLA AND SHIRLEY GRALLA, Claimants, V, MERRILL LYNCH, PIERCE, FENNER, k SMITH, INC., Respondent, OCT 2» 1990 AWARD MS90-14 SCO-009 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimants allege that Respondent acted improperly in removing in January 1990 from Claimants' ac