NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Oppenheimer & Co., Inc. Claimant(s) vs. 89-02239 Kenneth Thomas Adams Respondent^ s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Oppenheimer & Co., Inc. alleged that Respondent(s) Kenneth Thomas Adams owes a debit balance on his account. Respondent(s) maintain that his broker was well aware that he was acting as a nominee for Mr. Don

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. / In the Matter of the Arbitration Between ) ) David L. Diefenbaugh and ) Diana Diefenbaugh Claimants ) AWARD vs. ) NASD NO. 89-02236 ) E. F. Mutton & Co., Inc. and ) James Kenney Respondents ) ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on August 8, 1989. Claimants alleged that Respondents misrepresented the risks invo

N.A.S.D. AWARD jl NATIONAL ASSOCIATION OF SECURITIES DEALERS, IKC.-N0V I Ofi9g In the Matter of the Arbitration Between -- - - • BMMG Capital Corporation and 89-02243 CONSOLIDATED WITH Names of Respondents Suburban Stock/Option Investment Club; Robert J. Brown; Lester Graves; William E. Harris; Jack Hornbeck; Raymond L. Jenner; David M. Kaufman; J. Keith Kavanaugh; John Moyle; Calvin W. Meyer; Everett S. Nicholas; Glen H. Phillips; Quentin S

NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between Peter A. Douglas Claimant(s) vs. Brennan Ross Securities, Inc. and Cohig and Associates, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-02232 CASE SUMMARY Claimant(s) Peter A. Douglas alleged that Respondent(s) Brennan Ross Securities, Inc. and Cohig and Associates, Inc. mismanaged the transfer of Claimant's account and failed to execute a

STIPULATED AWARD NASD In the Matter of the Arbitration Between Names of Claimants Case Number: 99-02763 Karen and Paul Pucci Names of Respondents Hearing Site: Tampa, FL Josephthal & Co., Inc. Wayne Hemans REPRESENTATION OF PARTIES For Karen and Paul Pucci, hereinafter referred to as "Claimants": Jeffrey D. Erez, Esq. of Sonn & Associates, P.A., Ft. Lauderdale, FL. For Respondents Josephthal & Co., Inc. ("Josephthal") and Wayne Hemans ("

N.A.S.D. AWARD NATURAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant f s \ Ronald J. ftmdigel and Dorothy W. Mundigel 89-02230 (fame of Respondent fs] Lewis Cams, Roy L. Harkins ard Shearson Lehman Button, Inc. In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about August 7, 1989, Ronald J. and Dorothy W. Mundigel ("Claimants") alleged that Lewis Cams,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the. Arbitration Between/Among Mark Stern vs. Claimant Donrinick & Dominick, Inc. Respondent Case #89-02228 AWARD CASE SUWARY This claim was filed on August 4, 1989. Claimant, Mark Stern, alleges that Respondent, Dominick & Dominick, Inc., failed to process and book the execution of two orders and that this failure resulted in the liquidation at a loss of a purchase wh

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Kathren Efroyra Claimant(s) vs. 89-02224 Stuart McClure and Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Kathren Efroym alleged that Respondent(s) Stuart McClure and Blinder, Robinson & Co., Inc. inflated Claimant's income and net worth on customer account records in order to create the a

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Leland S., liana R. and Julie I. Shapiro Claimant(s) vs. 89-02217 Cowles, Sabol & Co., Inc., William L. Sabol, and Alan Stockhamer Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Leland S., liana R. and Julie I. Shapiro alleged that Respondent(s) Cowles, Sabol & Co., Inc., William L. Sabol, and Alan Stockhamer mishan

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Arviv Corp. Name of Shearson Lehman Hut ton, inc. John Potesta Case No. 89-02215 Heard before the matters of the Arbitration Panel): Robert Herschmann, Esq. Richard M. Kowalske Frank J. JfcConnack CASE SUM4ARY This claim was filed with the National Association of Securities, Inc. (NASD) on August 7', 1989. The hearing was conducted in Fort Lauderdal