N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dorothy Schneider Wolosof f Claimant and 88-03731 Individual's Securities, Ltd. and Robert Cataggio Respondents In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about December 5, 1988, Claimant Dorothy Wolosof f Schneider ("Wolosof f") alleged that four unauthorized sale transactions of Boston Ed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Connie Hickman Claimant and Blinder Robinson & Co., Inc. and David Mundy Respondents A W A R D ) 88-240Z ) CASE SUMMARY In a claim filed with the NASD on July 27, 1988, Claimant Connie Hickman ("Hickman") alleged that Respondents Blinder Robinson and Co., Inc. ("Blinder Robinson") and David Mundy ("Mundy") made unauthoriz

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Nuray Tambi Hunal and Fatima Tambi Claimants vs. Blinder, Robinson & Co., Inc. and Louis Salierno Respondents AWARD #88-02399 CASE SUMMARY Claimants alleged that the broker Louis Salierno solicited the purchase of 100 Telestar Satellite Corporation of America Revenue Participation Bonds worth $10,000.00. Claimants further alleged that thp broker

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Albert Cooperman Claimant vs. Wedbush Securities, Inc. Respondent Case 188-02397 AWARD CASE SUMMARY Claimant asserts an order transaction was not appropriately handled. Respondent asserts account was handled properly. RELIEF REQUESTED Claimant seeks unspecified damages. Respondent seeks dismissal of claim. AWARD On February 28, 1990 in o

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) GILBERT & GERTRUDE GROSSMAN Claimant and KENNETH C. MEISSNER d/b/a FINANCIAL COUNSELING & MANAGEMENT SERVICE Respondents ! ) i CASE NO. 88-02395 CASE SUMMARY In a statement of claim filed with the NASD on or about July 28, 1988, Claimants Gilbert and Gertrude Grossman ("Grossman") allege that Respondent Kenneth C. Meissner, d/b/a Finan

NATIONAL ASSOCIATION OF SECURITIES OEAI In the Matter of the Arbitration Between JO PARASILITE Claimant and ) ) CASE NO. 88-02393 SHEARSON LEHMAN BROTHERS, INC. AND NICK DIMINICO Respondents CASE SUMMARY In a Statement of Claim filed with the NASD on July 28, 1988, Claimant Jo Parasilite ("Parasilite") alleged that Respondents Shearson Lehman Brothers, Inc. ("Shearson") and Nick Diminico ("Diminico") engaged in the following misc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) ) JOHN J. and MARGARET BUTLER ) Claimants ) NASD No. 88-02382 v. ) THOMSON MCKINNON SECURITIES, INC. ) Respondents ) CASE SUMMARY In a claim filed with the NASD on July 26, 1988, Claimants John J. and Margaret M. Butler (Claimants) alleged that Claimants purchased from Respondent Thomson McKinnon Securities, Inc. (Thomson McKinnon) 95 units of Nati

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ? Kenneth R. Wendt ) Ruth E. Wendt > c *se #88-02375 Claimants I x Award vs. > Shearson Lehman Brothers, Inc. \ Edgar Stauber ^ Respondents { On May, 1, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants, Kenneth R. and Ruth E. Wendt on July 18, 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Charles Schwab & Co., Inc. Claimant/ ) Counterrespondent ) Case #88-02374 vs. ) Award Malay Pravin Nathwani Respondents/ ) and Gira Pravin Nathwani Counterclaimant ) CASE SUMMARY Claimant alleged that between October 1, 1987 and October 16, 1987, Claimant, under the instructions of Respondents, purchased and sold various stocks and options for the account

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David G. Harow Sheila R. Harow vs. Claimants Carl P. Sherr & Co. Carl P. Sherr Respondents CASE #88-02372 AWARD CASE SUMMARY Claimants David G. and Sheila R. Harow (hereinafter the "Claimants") alleged that Respondents Carl P. Sherr & Co. and Carl P. Sherr (hereinafter the "Respondents") made unsuitable recommendations. Claimants alleged tha