NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frank Zu If en no vs. Claimant Teichberg Loeb Waxman & Rabinowitz, Inc. Sol Drescher Respondents CASE #88-00976 AWARD CASE SUMMARY Claimant Frank Zulferino alleged that Respondent Sol Drescher knowingly made misrepresentations to the Claimant to cause him to purchase options. Claimant alleged such recommendations were unsuitable. Claimant allege

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant The Estate of Richard V. O'Meara. and Names of Respondents Gerwin Group, Inc. and Christopher Lee Gerwin Case Number: 01-03234 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES The Estate of Richard V. O'Meara ("Claimant") was represented by Paul Young, Securities A

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Gwenn C. Gamse, individually and Claimant ) and as Trustee ) ) vs. ) AWARD ) Oppenheimer & Co., Inc. Respondent ) CASE NO. 88-00966 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 25, 1988. Claimant alleged that Respondent breached the fiduciary duty owed to Claimant by recommendi

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Ashenbrucker Claimant(s) vs. 88-00960 Olde Discount Corp. and Michael Marsalese Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John Ashenbrucker alleged that Respondent(s) Olde Discount Corp. and Michael Marsalese was negligent with regard to a Piedmont Aviation Stock dividend. Respondent(s) maintain that Claimant was

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between ) RAYMOND F. FISCHER ) Claimant ) v. ) CASE NO. 88-00957 ) AWARD MERRILL LYNCH, PIERCE, FENNER & } SMITH, INC. AND RICHARD M. FLACK ) Respondents ) On May 15 through 20, 1989 in Minneapolis, Minnesota the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Raymond F. Fischer on March

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph K. and Anne Thomas Claimant(s) vs. Quick & Reilly, Inc. Respondent(s) AWARD 88-00951 The Arbitrator, Harold Wessel, 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 Claimant on March 18, 1988 and by the Respondent; And, tha

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Raymond C. Mayer and ) Edith V. Mayer, ) Claimant. ) ) Case 188-00944 vs. ) Award Prudentiai-Bache Securities Inc. and ) Edward J. Bukala. Jr., ) Respondent. ) CASE SUMMARY This claim was filed with the NASD. Inc. on March 23. 1988. The hearing was conducted in Tampa. Florida with a total of three (3) sessions. Claimants. Raymond and Edith May

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JOHN and LOUISE R. ZERVAS, ) Claimants, ) ) Case 188-00942 vs. ) Award DREXEL BURNHAM LAMBERT, INC., STEVEN ) FLACCO and JAMES STRAINER, ) Respondents. ) Heard before the members of the Arbitration Panel John B. Kelley, Esq. Harry Polansky Gary L. Stark CASE SUMMARY This claim was filed with the NASD, Inc. on March 23, 1988. The hearing wa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Milton Schatz Becky Schatz Eric Schatz Claimants vs. Eastern Capital Securities, Patricia Marika Vincent Sigliano Inc. Respondents CASE #88-00936 AWARD CASE SUMMARY Claimant alleges Respondents made misrepresentations relating to the value of his account and failed to follow his instructions to liquidate his account. damages.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n J C. Michael Madsen Claimant ) Award ) NASD #88-00927 vs. ) Sentra Securities Corp. Respondent/ Third-Party Claimant vs. Joseph Misiuda Third-Party Respondent SUMMARY OF ISSUES This case was filed March 22, 1988. Claimant alleged damages for unauthorized transactions and violation of Section Seven, Regul