Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard Gaeta, (Claimant) vs. Josephthal Lyon & Ross, Inc. and Robert Fronjian, (Respondents) Case Number: 99-04016 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard Gaeta, hereinafter referred to as "Claimant": Frances Nicotra, Esq., sole practitioner, Jersey City, NJ. Respondent, Josephthal Lyon & Ross, Inc. ("Josephthal"): John Bersin, Esq., Associate

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between First Potomac Securities Corporation Claimant vs. Jerry A. Tyler Respondent Case #88-02270 Award The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in a submission to arbitration signed by the Claimant on July 6, 1988 but not signed by the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) James H. and Cathleen A. Duffy Claimants vs. Case #88-02267 Award James Greenbaum, Respondent CASE SUMMARY Claimants allege that Respondent North American Investment Corp. and its registered representative, James Greenbaum, made unauthorized and unsuitable trades of 2000 shares of Scientific Measurement Systems for a total cost of $2,262.24. C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In The Matter of Arbitration Among Edwin Brandes vs. E.F. Mutton & Co., Inc. Claimant Respondent Case 188-02265 Case Summary Claimant Edwin Brandes alleged that he was advised to inv«st-fn-an insurance company stock and by virtue of his investment, he was advised by Respondent's representative that he was entitled to a life insurance policy. Claimant Edwin Brandes alleged that subsequently he di

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) HAROLD HORNREICH, ) Claimant, ) ) Case 188-02264 vs. ) Award JOSEPHTHAL 4 CO., INC.. ) Respondent. ) Heard before the members of the Arbitration Panel: Anthony J. Titone, Esq. Judy Avey Douglas Delanoy, Jr. CASE SUMMARY This claim was filed with the NASD, Inc. on July 15, 1988. The hearing was conducted in Fort Lauderdale, Florida on May 2

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) CONNIE MARINCHEK. ) Claimant, } ) Case 188-02262 vs. ) Award ) KASHNER SECURITIES CORP., MARTIN R. KZNEALY ) and JOHN H. JETT, ) Respondents, ) ) Heard before the members of the Arbitration Panel: Mr. Roger C. Benson Marvin M. Morgenstern, Esq. Ms. Allison Hardage CASE SUMMARY This claim was filed with the NASD. Inc. on July

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Worldwide Corporate Managers, Inc. Claimant vs. AWARD #88-02261 Paul Olson Engler-Budd & Company, Inc. Oberweis Securities, Inc. Respondents Case Summary Claimant Worldwide Corporate Managers, Inc. ("Worldwide") initially filed on July 15, 1988 a Statement of Claim against Engler-Budd & Company, Inc. ("Engler-Budd"), its successor firm Oberweis Se

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between DONALD J. AND MARY TARSNEY ) ) Claimants ) v. ) Case No. 88-02259 DEAN WITTER REYNOLDS, INC. ) ) Respondent ) CASE SUMMARY Claimants, Donald J. and Mary Tarnsey ("Tarsneys") alleged the following: 1. On or about February 19, 1981 Tarneys met with C. B. Brewster ("Brewster"), who was a registered representative of Dean Witter Reynolds, Inc. ("Dean W

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Ivor A. Emanuel, M.D., Phyllis Emanuel, John A. T. Ross, M.D., and John A. T. Ross, M.D., a Professional Corp. vs. Jack Clauson, Prudential-Bache Securities, Inc. and Sutro & Company, Inc. Claimants ) Respondents ) AWARD CASE NO- 88-02257 SUWARY OF ISSUES This case was filed on July 15, 1988. Claimants alleged lack of suitability,

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Hatter of the Arbitration Between First Potomac Securities Corp. vs. Claimant(s) 88-02253 Nana Ackah Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) First Potomac Securities Corp. alleged that Respondent (s) Nana Ackah owes outstanding debit balance in her margin account held with Claimant. Respondent(s) did not answer Claimant's allegations. RELIEF REQU