NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) William Bennett and ) Virginia Bennett Claimant(s) ) ) AWARD vs. ) CASE NO. 88-02961 Kidder Peabody & Co., Inc., ) Marian Cummings and ) Robert Cummings Respondent(s) ) SUjtlARY OF ISSUES This case was filed on September 20, 1988. Claimant alleged: Negligence and breach of fiduciary duty in the purchase of 15,000 shares of common stock in Counsell

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) J.W. COATS and JANETTE COATS ) Claimants ) v. ) NASD No. 88-02958 SCOTT DUBOIS AND SHEARSON LEHMAN MUTTON ) Respondents ) CASE SUMMARY In the statement of claim filed on or about September 20, 1988 Claimants allege that Respondents: 1) executed trades without authorization; 2) made unsuitable recommendations with regard to Claimants' account; 3) fai

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Henry J. Riston, Jr. and Donna L. Riston vs. Case No. 99-02402 Name of Respondents First Montauk Securities Corp. Daniel Dvorznak REPRESENTATION OF PARTIES Claimants Henry J. Riston, Jr. and Donna L. Riston, hereinafter collectively referred to as "Claimants": Mark M. Dumler, Esq., Parker, Dumler & Kiely, Baltimore, Maryland Respondents First Monta

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JO LANDSTROM ) Claimant ) and ) ) CASE NO. 88-02944 THOMAS BARNES ) ) Respondent ) CASE SUMMARY A. Jo Landstrom ("Claimant") alleged that Thomas Barnes ("Respondent") engaged in the following: 1. Churned the Claimants account: 2. Made unsuitable recommendations to the Claimant regarding index option trading and margin trading; 3. M

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Alvin J. Abrams Claimant vs. Case #88-02938 Smith Barney, Harris, Upham & Co., Inc. Respondent ( s ) Case Suamary Claimant asserts he placed Respondent on October 20 and 21, Respondent contends that failed unforeseeable market conditions, liable for. orders to purchase stock with 1937 which were never executed. executions were tha produc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Judith Drachman vs. Claimant Prudential Bache Securities, Inc. Gary Price Respondents AWARD '88-02931 Case Summary Claimant Judith Drachman alleged that Respondents Prudential Bache Securities, Inc. and Gary Price misrepresented the risks of option trading in her account and churned the amount sustaining trading losses. Respondent Prudential Bache

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) JENELLE D. RASH ID ) Claimant ) and ) ) CASE NO. 88-03049 JAY H. FERTMAN and MELODY HIXON ) Respondent ) CASE SUMMARY Jenelle D. Rashid ("Claimant") alleged that: 1. Jay H. Fertman ("Fertman") and Melody Hixon ("Hixon") made misrepresentations to her regarding the purchase and sales of securities; 2. Hixon sold securities to her as a unr

443 P02 Region Number V" N.A.S.D. AWARD Year 9/ "~" NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between " Name of Claimant (gj^ Elaine A. Graveley 88-03046 Nanie of P Prudential-Bache Securities Inc. Gerald S. Cohn Ihis matter was initiated by a Statement of Claijn filed with the National Association of Securities Dealers, Inc. ("NASD") on September 30, 1988, as amended by the filing of an Amended

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Claimants Award ) NASD* &** Respondents SUMMARY OF ISSUES This case was filed on faiM«toS ' JtA/st of DAMAGES AND RELIEF REQUESTED DAMAGES AND RELIEF AWARDED On v>fct&J ^/ /ft/7 >* V ' • " I the undersigned arbitrators heard the controversy in ^ / sessions; between the parties as set forth in submissions to arbitration signed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Harry Leva Claimant vs. Timothy H. Dowd Christopher D. Bell David W. Appel, Jr. Equitable Securities of New York, Inc. Respondents CASE #88-02928 AWARD CASE SUWARY In a claim filed with the National Association of Securities Dealers, Inc. on September 21, 1988 Claimant Harry Leva alleged Respondents breached their fiduciary duties owed h