MUNICIPAL SECURITIES RULEMAKING BOARD In the MARTIN Matter of the Arbitration between H. ELEANOR M. V. DON DALIS BERNSTEIN and BERNSTEIN, and SHEARSON LEHMAN ; Claimants, : BUTTON, INC., : Respondents. : 'r m ^PHie ^990 i'3 ^^•^.:;4 AWARD MS89-88 SC9-034 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: Claima $10,000 Browar Bonds that Res

MUNICIPAL SECURITIES RULEMAKING BOARD rr.r-u *'-^ 23 (591, In the MILLER Matter V. of th & SCHROEDER e Arbitrat FINANCIAL, ion between Claimant, INC., : Respondent. AWARD MS89-85 SC9-033 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant alleged that Respondent misrepresented as a good financial investment certain Decatur, Alabama Heal

MUNICIPAL SECURITIES RULEMAKING BOARD MAR 1 1990 In the Hatter of the Arbitration Between Claimants, V. BOETTCHER & COMPANY, INC. and GREGORY W. KENNEDY, Respondents. AWARD MS 89-84 The undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows. CASE SUHMARY Claimants alleged that Respondent Kennedy told them, prior to thier purchase of certain municipal securities from Respondents, that they woul

MUNICIPAL SECURITIES RULEMAKING BOARD In the LAURA C ROBERT Matter of ;. MORAN, v. the M. BUCHANAN, Arb JR. itra and tion JAY Res between Claimant, JONES, ipondents. AWARD MS89-83 SC9-029 The Undersigned, pursuant to section 31 of MSRB rule 6-35, hereby states as follows: In a Claimant alle director and Jones, as an in material m connection wi In addition, he

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between ROBERT HENDRICKSON, v. ANDERSON, BRYANT & COMPANY, Claimant, Respondent, ^^^ 22 J990 AWARD MS 89-79 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimant alleged that, on three occasions (10/31/88; 1/30/89; 4/6/89), Respondent, through its agent, by material misrepresentation and concealment o

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration Between J.B. V, HANAUER & COMPANY, Claimant, : Respondent. : AWARD MS 89-72 The UNDERSIGNED, pursuant to MSRB Rule G-35, Section 31, hereby state as follows: CASE SDNMARY Claimant alleged that Respondent J.B. Hanauer & Company failed to represent or to disclose on the confirmation that certain issues of municipal bonds sold to him by Respondent, some of wh

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimants, V. JURAN & MOODY, INC. and AL GRAMENTZ, Respondents. AWARD MS 89-68 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimants alleged that Respondents either fraudulently or negligently misrepresented the safety of an investment in City of Rochester, Minnesota First Mortgage Revenue Bonds of 1983

Stipulated Award NASD in the Matter ot the Arbitration between: Name of the Claimant Case Number: 01-03345 Myron Maxwell Names of the Respondents Hearing Site: Tampa, Florida Salomon Smith Barney Inc. Richard Shotz Peter Bermont REPRESENTATION OF PARTIES For Myron Maxwell, hereinafter referred to as "Claimant": Jeffrey S. Grubman, Esq., Stollman & Grubman, P.A., Boca Raton, Florida. For Salomon Smith Barney Inc. ("SSB"), Peter Bermont ("

m APR 6 }99o d^fiih In the Matter of the Arbitration Between Claimants, V. NORRIS & HIRSHBER6, INC. and GARY L. KANE, Respondents. *'-»V.;,^3, AWARD MS89-64 SC9-032 The undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: SUMMARY OF THE ISSUES DECIDED I. Whether or not Claimants were induced to purchase the $5000.00 City of Indianapolis, Indiana 13% Economic Development First Mortga

MUNICIPAL SECURITIES RULEMAKING BOARD mm ^^f 21 1990 f ,1 ^I? ?N ?> In J. th B. e Matter v. HANAUER 0 8c f th CO. e Ar and bitrat DAVID ion between t B. Claimants, : MOORE, Respondents. AWARD MS 89-63 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY CI them at th provision Family Mor Proj