NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between| James E. Grant: and Tamah J. Grant JTTEN Claimant(s) vs. 89-00246 Barron Chase Securities, Joseph L. DuRant and Robert T. Kirk Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) James E. Grant and Tamah J. Grant JTTEN alleged that Respondent(s) Barron Chase Securities, Joseph L. DuRant and Robert T. Kirk made unauthorized

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JEROME and SANDRA LIEBERMAN, ) Claimants, ) ) Case #89-00243 vs. ) Award SHOCHET SECURITIES, INC., ) Respondent. ) Heard before the members of the Arbitration Panel: Allan M. Lerner, Esq. Mrs. Camille Besold Mr. Terrence W. Grant CASE SUMMARY This claim was filed with the NASD, Inc. on January 26, 1989. The hearing was conducted in Fort La

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) RICHARD and MARILYN MANDLER, ) Claimants. ) } Case /89-00234 vs. ) Award J.W. GANT 4 ASSOCIATES, INC., ) Respondent. ) Heard before the members of the Arbitration Panel: H. Steven Holtzman, Esq. George S. Coit Jr.. Esq. Mr. Ralph Feith CASE SUMMARY This claim was filed with the NASD, Inc. on January 30, 1989. The hearing was conducted in T

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tharamel Alexander and Mariamma Alexander, (Claimants) vs. First Security Investments, Inc., Federated Securities, Inc., Bear Stearns Securities Corp., and Rauscher, Pierce & Refsnes, Inc. a/k/a R.P.R. Correspondence Clearing, a division of Dain Rauscher, Inc., (Respondents) Case Number: 99-02561 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Tharamel Al

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between/Among * Charlene Axelrod as Custodian for Deborah Axelrod * & Robert Charles Axelrod * Claimant(s) CASE * #89-00231 AWARD vs. * Prudential-Bache Securities, Martin Krull and * Jeffrey Krull * Respondents. CASE SUMMARY Claimant(s), Charlene Axelrod as Custodian for Deborah Axelrod and Robert Charles Axelrod, alleged that Respondent, .Jeff

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Jana Olson & William Collins Claimants ) ) vs. ) AWARD Brennan Ross Securities, Inc. Respondents ) CASE NO. 89-00228 and William Strong SUWARY OF ISSUES This case was filed on November 29, 1989. Claimants alleged Respondent Strong represented to Claimant that an investment in C-Net, Inc. would be guaranteed by Brennan Ross Securities, Inc. and that

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Paul Farkas, O.D., T.W. Kanalow, 0.0. and Barry Farkas, O.D., P.C., vs. Claimants Case #89-00224 Award The Dreyfus Corporation and The Bank of New York, ) ) Respondents ) ) CASE SUMMARY Claimant alleges that they had a Government Series account and a New Leaders Series account with the Dreyfus Corporation and that on September,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael K. DePasguale Claimant(s) vs. 89-00219 John J. Connolly Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Michael K. DePasquale alleged that Respondent John J. Connolly made unauthorized trades. Respondents did not respond. RELIEF REQUESTED Claimant Michael K. DePasquale requested damages of One Thousand Eight Hundred Sev

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between W. Richard Barnhart, attorney-in-fact for Audrey Henry Barnhart Claimant(s) vs. 89-00217 PaineWebber, Inc. and Ronald Walchack Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) W. Richard Barnhart, attorney-in-fact for Audrey Henry Barnhart alleged that Respondent(s) PaineWebber, Inc. and Ronald Walchack mishandled an inve

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Roxie French ) Claimant ) ) . AWARD vs. ) ) NASD *89-00214 Norman Kaufman and ) Professional Brokerage ) Services, Inc. ) Respondents ) ; ) 5UHMARY OF ISSUES This case was filed -itii cne Nacj.onai Association of Securities Dealers, Inc. '"MASD") on January 24, 1989. Claimant alleged that Respondents recommended and transacte