\ .. \ NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) James C. Alexander ) Claimant ) and ) CASE NO. 88-02438 Dean Witter Reynolds Inc.; Kitty Longino and Leo Harrison Respondents ) CASE SUMMARY In a claim filed with the NASD on or about August 1, 1988, Claimant, James C. Alexander ("Alexander") alleged that Respondents, Dean Witter Reynolds Inc. ("Dean Witter") ( Kitty Longino

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Seymour Buxbom, Carol Buxbom, Claimants ) and/or Desert Outdoor Advertising, Inc. ) vs. ) CASE NO. 88-02542 Shearson Lehman Brothers, Inc., Respondents Robert Higgins, and Robert Glavor SUWARY OF ISSUES Claimants filed this claim with the NASD on August 11, 1988 and alleged that the purchase of 52,000 shares of Cetus Corporation stock at a cost of $

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerald and Anna DiCenzo Clairaant(s) vs. Putnam Co. and O.R. Securities, Inc. and Gagliola-Perroni & Assoc. Respondent(s) AWARD 88-02540 Tha Arbitrator, Anne Cugliani, 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 Aug

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Kelly Claimant(s) vs. Dean Witter Reynolds, Inc. Respondent(s) AWARD 88-02539 The Arbitrator, John W. Jerak, having been 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. And, that having reviewed and considered the proof

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of Arbitration Between) ) ERWIN and BERNICE L. COHN ) Claimants ) NASD NO. 88-02533 v. ) L.F. ROTHSCHILD & CO. ) and DAVID GROSS ) Respondents CASE SUMARY In a claim filed with the NASD on August 10, 1988, Claimants Erwin and Bernice Cohn (Claimants) alleged that Respondents L.F. Rothschild and Co. (Rothschild) and David Gross (Gross) sold on October 29, 1987, without

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Q f ' ''VC In the Matter of the Arbitration Between ) John Benvenuto and Claimants ) Luigina Nicora ) vs. ) CASE NO. 88-02531 Great Western Financial Securities Respondents ) Corporation and Jill Irwin ) SUWARY OF ISSUES The Claimants filed this claim with the NASD on August 10, 1988 against the Respondent brokerage firm and its account executive and alleged breach of fiduciary duty, misre

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. UPthe Matter of the Arbitration Between ) J. Murray and Rita Chick ) Claimants ) and ) A W A R D ) 88-2526 Shearson Lehman Brothers, Inc.; ) John MouJton ) Respondents On Monday, May 1, 1989 in St. Louis, Missouri, the undersigned arbitrator heard the controversy between the parties as set forth in submissions to arbitration signed on July 21, 1988 by Claimants J. Murray and Rita Chick

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marc Wexler Claimant(a) vs. 88-02524 First Montauk Securities and Steven Winters Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Marc Wexler alleged that Respondent First Montauk Securities and Steven Winters failed to execute Claimants trade order on a timely basis. Respondents denies allegations. RELIEF REQUESTED Claimant

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Gail Spicuzza, Claimant vs. Securities Service Network, Inc., Justin Jensen, Cal Jones and Cathie Baiche, Respondents. Case Number: 99-02351 Hearing Site: Seattle, WA REPRESENTATTON OF PARTIES Claimant, Gail Spicuzza, (hereinafter referred to as "Claimant"): John A. Bender, Esq., Weiss, Jensen, Ellis & Howard, 520 Pike Street, 2600 Pike Tower, Seattle, WA 98101. Respondents, Secur

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dr. Mesut Sezgin AWARD Claimant #88-02520 vs. First Jersey Securities, Inc. John Lesley Rosser Respondents Case Summary This proceeding was commenced by the Claimant Mesut Sezgin ("Mr. Sezgin") against the Respondents First Jersey Securities, Inc. ("First Jersey") and John Wesley Rosser ("Mr. Rosser") arising from the over and sale of several over-the-cou