NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among Eastern Jewelry Manufacturing Company, * Inc. and Witklag Reality * Case f89-01733 Award Claimants * Advest, Inc. * and Stuart Bockler Respondents * CASE SUMMARY Claimants, Eastern Jewelry Manufacturing Company and WitJclag Reality (-Claimants") alleged that Respondent, Stuart: Bockler placed claimants in unsuitable investments. Specifical

RATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. * In the Matter of the Arbitration Between/Among Fred C. Follmer and Sharon R. Foil flier vs. Claimants Shearson Lehman Mutton. Inc. and Andrew Weitz Respondent- Case 189-01731 AWARD r **»»»»**•»****»******••»»•*******»**+*******» CASE SUMMARY Claimants, Fred C. and Sharon R. Follmer alleged that Respondents, Shearson Lehman Mutton, Inc. and Andrew Heitz iproperly handled C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) CECIL R. & IVA M, COHEN ) Claimants ) and ) ) CASE NO. 89-01730 CHARLES SCHWAB & COMPANY, INC. ) ) Respondent ) CASE SUMMARY In a claim filed with the NASD on or about June 8, 1989, Claimants Cecil R. and Iva M. Cohen ("Claimants") alleged that they relied upon representations in the advertisements for Respondent Charles Schwab & Co., Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard P. Thomas and Caroline J. Thomas JTWROS Claimant}s) vs. 89-01729 Kennedy, Cabot & Co. Respondents) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Richard P. Thomas and Caroline J. Thomas JTWROS alleged that Respondent(s) Kennedy, Cabot & Co. failed to execute a transaction. Respondent(s) maintain that they did not solicit any

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In th* Matter of the Arbitration Between ) ) JOSEPH J. STRONKO. ) Claimant, ) ) Case #89-01725 vs. ) Award ) BLINDER ROBINSON 6 CO., INC. and ) HUGH FLANNIGAN, ) Respondents. ) ) Heard before the member of the Arbitration Panel: George S. Coit Jr., Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on June 14, 1989. The hearing waa conducted in Tampa, Florida on Jun

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02705 Olde Discount Corporation, claimant vs. Lisa R. Gerren, respondent. ATTORNEYS: For Claimant Olde Discount Corporation ("Claimant"), Aaron L. Kleid, Esq. of Olde Discount Corporation. Detroit, ML Respondent Lisa R. Gerren ("Respondent"), appeared Pro Se., Hollywood, FL. DATE FILED: June 14, 1999 CASE SUMMARY: Claimant alleged that it incurred a debit

FILE copy nAY Oft Rtfn ' y oa REED NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mary 0. Bandoh Claimant vs. AWARD #89-01723 Smith Barney Harris Upham & Co., Inc. Gail Dunbar Respondents Case Summary Claimant Mary 0. Bandoh alleged that Respondents Smith Barney, Harris, Upham & Co., Inc. and Gail Dunbar opened a margin account for the Claimant without authorization and placed the

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Steve Schwartz Claimant(s} vs. 89-01721 Vanguard Discount Brokerage Services Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Steve Schwartz alleged that Respondent(s) Vanguard Discount Brokerage Services made misrepresentations. Respondents) deny any and all allegations of the Claimant. RELIEF REQUESTED Claimant(s) Steve

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Terrance F. and Jacqueline G. Colegate Claimant(s) vs. 89-01716 Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Terrance F. and Jacqueline G. Colegate alleged that Respondent (a) Blinder, Robinson & Co., Inc. made misrepresentations with respect to the "Putnam High Income Government Trust". Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) ) Award Sheldon L. Goldstein, Trustee Claimant ) ) NASD No. 89-01714 vs. ) Dean Witter Reynods, Inc. Respondents Alan R. Lyons SUWARY OF ISSUES This case was filed on June 12, 1989. Claimant alleged the following: misrepresentation, non-disclosure of material facts, negligence and failure to properly supervise