NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Weber R. Lawler, Jr. Mary Elizabeth Lawler Claimants vs. Shearson Lehman Hutton, Inc. Merrill Lynch, Pierce, Fenner & Smith, Inc. James Hedine Respondents CASE #88-02108 AWARD CASE SUMMARY In a claim received by the NASD on June 29, 1988, Claimants Webster R. and Mary Elizabeth Lawler ("Claimants") alleged that Respondent James I. Hedine,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of v-.e Arbitration Between Doyle W. Griffeth Sara A. Griffeth vs. Claimants ) Case 488-02102 Award Prudential Bache Securities, Inc. Respondents ) Prudential Bache Research Fund ) On April 23, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants Doyle w. and Sara A. Griffeth on June 11, 198

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between •Estate of Paul E. Bewshea, Thomas J. Whalen, Executor, Claimant vs. ) Case #88-02097 Award Merrill Lynch, Pierce, Fenner & Smith, Inc. and Robert F. Bruno Respondents The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in Submissions to Arbitr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donna G. Goehle, Claimant and 88-02096 Shearson Lehman Brothers, Inc. and Kent Bowman, Respondents In a claim filed with the NASD on or about June 27, 1988, Donna G. Goehle {"Claimant") alleged that Shearson Lehman Brothers, Inc. ("Shearson") and Kent Bowman {"Bowman")(collectively as "Respondents") made material misrepresentations to induc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John H. Akmakjian Claimant(s) vs. Dunhill Investments Ltd. and Tom Wilson Respondent(s) AWARD 88-02088 The Arbitrator, Gary S. Lapidus, 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 February 26, 1988 and July 29, 198

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Among Michael ana Dolores Delia Veccrna Claimants vs. Merton Mitchell and Shearson Lehman Brothers, Inc. Respondents Case 188-02081 AWARD Case Summary In the Statement of Claim received by the National Association of Securities Dealers, Inc. on June 28th, 1988 Claimants, Michael and Dolores Delia Vecchia alleged that the Respondent, Merton Mitchell entered them i

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of Arbitration Between HARRY 8ERGER v. BLINDER ROBINSON and MARK G2EVEN Claimant Respondents ) No. 88-02078 CASE SUMMARY Harry Berger ("Claimant") alleges that Blinder Robinson & Co., Inc. and Mark Greven made misrepresentations including false and misleading statement regarding the recommendation to purchase 10,000 shares of Blinder International Enterprises, Inc. st

Award NASD Dispute Resolution In the~Matter of the Arbitration Between: of th p Clamant r^gp Number- 01-03291 Janice C. Black n f thfi RfjgprmHpntq Hearing Sitf*- Philadelphia, PA Pinnacle Asset Management, Inc. John J. Katsock, Jr. John J. Katsock, Sr. N 0 1 V Claimant, Janice C. Black ("Black"), hereinafter referred to as "Claimant", was represented by Thomas P. Donnelly, Esq., Mellon Webster & Mellon, Doylestown, P

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between) DAVID A. DENT ) Claimant ) v. ) CASE NO. 88-02076 SUMMIT INVESTMENT CORPORATION AND ) GERALD HLADKY ) Respondents j CASE SUMMARY The Claimant alleged that he placed an order to purchase stock on margin. The Claimant later discovered that the stock was not marginable and that the position had been liquidated pursuant to Regulation T. Additional orders to p

May 17, 1989 Ms. Sandra A. Twigg, Senior Analyst National Association of Securities Dealers, Inc. 1735 K Street, N.W. Washington, D.C. 20006 Re: NASD Arbitration 88-02075 i,p il : MAT22lbe9 2S^WLFINANCTNG Theodore Holstein, M.D. vs. Shearson Lehman and Larry Trailor Dear Ms. Twigg: I have reviewed the original submissions of the parties and their additional correspondence. My decision follows: 1. Shearson Lehman Mutton In