NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Maureen J. Earl Claimant ) vs. ) AWARD Marvyn Kaye Respondent ) CASE NO. 89-00775 SUMMARY OF ISSUES This case was filed on March 10, 1989. Claimant Maureen J. Earl alleges that Respondent induced her to buy interests in certain limited partnerships when Respondent knew or should have known said investments were unsuitable in light of Claimant's income, net wo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Estate of Frances B. Galbreath, Claimant Case Number: 99-02595 Vs. Hearing Site: Louisville, Kentucky Oppenheimer & Co., Inc., William A. Lobb, and John J. Woods, Respondents. REPRESENTATION OF PARTIES Claimant, The Estate of Frances B. Galbreath ("Galbreath"), was represented by James B. Galbreath, Esquire, of Morgan, Hazen & Galbreath, Newport, Ke

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Murrey and Sandra Galper Claimant(s) vs. 89-00773 Blinder, Robinson & Co., Inc. and Robert Merrifield Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Murrey and Sandra Galper alleged that Respondent(s) Blinder, Robinson & Co., Inc. and Robert Merrifield misrepresented material facts as to Claimants' investment with Respondent.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Leopolds and Mary Hellmund ) ) ) Case No. 89-00771 ) Name of Respondentfsv ) ) Merrill Lynch, Pierce, Fenner & Smith ) Inc. and, ) Monarch Resources Inc. ) Heard before the members of the Arbitration Panel: Marilyn B. Cane, Esq. Anthony S. Paetro, Esq. Thomas E. Swenson CASE SOMUCT This claim was filed with the Nat

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maurice H. King, Jr. Claimant(s) vs. 89-00766 F.N. Wolf and Company Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Maurice H. King, Jr. alleged that Respondent F.N. Wolf and Company misrepresented facts in connection with a purchase of warrants. Respondent denies issuing an opinion or statement about the performance of the stock i

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) EDMUND D. & MARGARET J. MESLOH ) MERRILL AND MARK and LYNCH, PIERCE, P. INGRAM Claimants ) ) FENNER & SMITH, ) ) Respondents ) CASE NO. 89-00753 CASE SUMMARY In a claim filed with the NASD on March 6, 1989, Claimants Edmund D. & Margaret J. Mesloh alleged that Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Linnea L. Klinger Claimant(s) vs. 39-00743 First Investors Corp. & Gordon Hewes- Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Linnea L. Klinger alleged that Respondents First Investors Corp. and Gordon Hewes assured her that she would not incur any tax liabilities if she transfered her account to First Investors Corporation.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between August E. and Sharon LaScola AWARD vs. #89-00740 Merrill Lynch, Pierce, Fenner & Smith Arthur Zwieg Charles Mordough CASE SIM4ARY Claimants alleged that Respondents falsely misrepresented to the Claimants a Prime FLan Variable life insurance policy that UBS unsuitable for the Claimants and did not conform to their investment objectives of l

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Brett H. Bowen Claimant(s) VB. 89-00736 David Futransky, Mark Graven and First American Capital Resources, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Brett H. Bowen alleged that Respondent(s) David Futransky, Mark Graven and First American Capital Resources, Inc. failed to execute a sell order. Respondent(s) ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ===—============£=======S======================= In the Matter of Arbitration Between Catherine S. Leonard vs. Claimant CASE ^89-00735 AWARD L.F. Rothschild, Unterberg, Towbin, Inc. Albert Pagan Respondents « = = = = = s = = === = *t= = = »a« = a*s at aa = = = = » = = = = = = = = = * = = = = = CASE SUWARY Claimant, Catherine S. Leonard alleges that R