N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alice Dickev 92-02661 Name of Respondents Equico Securities. Inc.. Cornwall Securities. Inc.. and Bruce E. Melroe. Third-Party REPRESENTATION OF PARTIES For Claimant at the hearing: Bruce Pearson. Fargo, North Dakota. For Respondent Cornwall Securities, Inc.: Barry J. Herman, Cornwall Securities, Inc., Great Neck, New Y

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Hairy D. Tyszko Diane D. Hodgson AWARD vs. NASD #92-02660 Name pf Respondent; E.F. Button and Company, Inc. Shearson Lehman Hutton, Inc. Smith Barney Hutton Upturn & Company Brian G. DiJulio Barbara J. DiJulio For Claimants': Gregory D. Lucas, Esq. of Lucas & Lucas of Bellevue, Washington. For Respondents' Shearson Lehman H

PUBLIC N.A.S.D. AWAJRD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lindsay and Sharon Bassing 92-02656 Name of Respondents Raymond, James & Associates, Inc. Arthur DeMartine CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1992, Claimants Lindsay and Sharon Bassing, who appeared Pro Se, alleged that in December 1988 they wen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. vs. 92-02655 Name of Respondent John D. Hufnagel CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1992, Claimant PaineWebber, Inc., through its in-house counsel, Joseph F. Generelli, Esq., alleged that Respondent John D. Hufnagel has failed to pay an unsecur

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PaineWebber, Inc. 92-02650 Name of Respondent James Haynes CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 7, 1992, Claimant PaineWebber, Inc., through its in-house counsel Garry Stegeland, Esq., alleged that Respondent James Haynes failed to submit to the transfer agent shares of Chris C

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants C.G. Klein & J. Screen Co-Executors/ William D. Melton 92-02649 Name of Respondents Gruntal & Co., Inc. Soils Kaslow CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 7, 1992, C.G. Klein & J. Screen Co-Executors for William D. Melton, alleged that Respondent Gr

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Evan Solomon 92-02647 Name of Respondent Gruntal & Co.. Inc. CASE STftMMARY In a claim filed with the NationaJ Association of Securities Dealers. Inc. on August 7. 1992. Claimant Evan Solomon, who appeared Pro Se, alleged that Respondent Gruntal & Company executed an order to purchase 50"ADJ Conversion to SPX index o

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gregory I. Goldberg (Claimant) v. CIBC Oppenheimer Corp. and Demos Argyros (Respondents). I Case Number: 99-03296 Hearing Site: St. Louis, MO REPRESENTATION OF PARTIES Claimant, Gregory I. Goldberg, hereinafter referred to as "Claimant," was represented by Lawrence R, Goldberg, Esq. of Goldberg, Katz & Stansen, P.C. St. Louis, MO Respondents CIBC Oppenheimer Corp.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard I. Waraksa 92-02644 Name of Respondents Sbearson Lehman Brothers, Inc. Janet McGlynn For Claimant: Andrew G. Messina, Esq. of O'MaUey, Deoeea, Messina & Oswecld. For Respondents: John R. Snyder, Esq. of Sbearson Lehman Brothers, Inc. CASE INFORMATION Statement of Claim filed: August 6, 1992. Claimant's Submissio

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Virgil H. Edwards No. 92-02641 Name of Respondents William C. Bumside & Co.. Inc. Willliam C. Burnside REPRESENTATION OF PARTIES For Claimants: Thomas M. Knepper, Esq. of Neal Gerber & Eisenberg, Chicago, Illinois. For Respondents: Stephen H. Cohen, Esq., and Ruta K. Stropus, Esq. of Sachnoff & Weaver, Ltd., Chicago, Illino