NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jean Pardini Claimant vs. CASE NO. 88-03902 Smith Barney, Harris Upham & Company, Inc. Steven K. Williams Respondents SUMMARY OF ISSUES This case was filed with the NASD on December 22, 1988. Claimant alleged Respondents misrepresented the safety and suitability for his investment objectives of limited partnership units in National Resource Mana

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William H. Widdows Claimant(s) vs. Geoffrey Kraft Respondent(B) AWARD 88-03887 The Arbitrator, George R. Freund, selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on December 9, 1988 and February 17, 1989, respectively; And,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William R. and Mary K. Hy-Des Claimant(s) vs. First Investors Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 88-02998 CASE SUMMARY Claimants William R. and Mary K. Hy-Des alleged that Respondent First Investors Corp. misrepresented the risks involved with investing the First Investors Government Fund. Respondents maintain that the Claimants were

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) Benjamin B. and Joan Greenberg, ) Claimants, } ) Case #88.02994 vs. > Award Prudential Bache Securities, Inc., ; Respondent. ) Heard before the members of the Arbitration Panel: Howard E. Kurzweil, Esq. Mr. Norris L. Friedlander Mr. S. Richard Savage CASE SUMMARY This claim was filed with the NASD, Inc. on September 23, 1988. The hearing w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among ) Reuben J. Grubb, Claimant I Case #88-02993 Award vs. Equitable Securities of New York, Inc. ) Respondent/ ) Third-Party Claimant vs. Douglas F. Mology, Third-Party Respondent CASE SUMMARY Claimant alleged that Respondent, Equitable Securities of New York, Inc., mishandled his account concerning two limit orders placed by Claimant

- NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Michael Paul Miller ) Claimant } ) Case #88-02989 vs, ) Award Shearson Lehman Hutton, Inc. ) Christopher Mark Kowitski ) Larry McDermott ) Respondents ) CASE SUMMARY Claimant alleges upon Respondents advice and recommendations purchases were made in the Shearson Managed Municipal Investment (SMMI). Further, when liquidating his account, Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between James Lafratta Mark Jozefowski Maureen Harrison Mary Harrison Michael Sullivan Sergio Derojas Mark Marshall Claimants vs. Brooks, Weinger, Robbins & Leeds, Inc. CaroL Martino Respondents CASE'S # 88-02977 88-02978 88-02979 88-02980 88-02981 88-02982 88-02983 CASE SUWARY The Claimants alleged that Respondents f

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ruth Bigby Claimant(s) vs. AWARD 88-02971 PaineWebber, Inc. and Lynn Faust Respondent(s) The Arbitrator, Thomas J. Hawekotte, Esq., selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on September 14, 1988 and February 1, 1989, res

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Victor Marcus Eleanor Marcus Claimants vs. Smith Barney, Harris Upham & Co., Inc. Respondent CASE #88-02968 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 19, 1983 and amendsd on November 10, 1989 Claimants Victor and Eleanor Marcus alleged Respondent, through the account executive hand

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) James E. and Martha G. Sacra ) Claimants ) and PaineWebber, Inc. Don Vogel Respondents A W A R D 88-02964 CASE SUMMARY In a claim filed with the NASD on September 20, 1988, James E. Sacra and Martha G. Sacra ("Claimants") alleged that PaineWebber, Inc. and Don Vogel ("Respondents") breached their fiduciary duty to Claimants,