NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Daniel l. Miley Claimant vs. COS Investments,Inc. K.A. Knapp & Co., Inc. Larry L. Franke Respondents Case 188-00911 AWARD CASE SUMMARY Claimant Daniel L. Miley ("Miley") alleged that Respondent Larry L. Franke ("Franke"),an employee of Respondent K.A. Knapp & Co., Inc. ("Knapp"), made false representations as to the quality and value of an i

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) HUBERMAN, MARGARETTEN & STRAUS ) Claimant ) and ) CASE NO. 88-00909 ) AWARD MIRIAM L. KELLY a/k/a ) MARYLOU KELLY ) Respondent ) On February 28, 1989, March 1, 1989 and April 17, 1989 in Denver. Colorado, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on March 16, 1988 by Mich

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard F. Finucane Barbara C. Morris vs. Claimants Wakefield Financial Corp. George Palefsky Respondents AWARD #88-00903 Case Summary Claimants alleged that Respondents misrepresented investments to them and executed unauthorized transactions of common stock in their account creating losses. Respondents maintained that the Claimants at all times

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Igor Dmitrowsky vs. Claimant Steinberg and Lyman Broadcort Capital Corp. vs. Vincent Aquino Respondents Third Party Respondent CASE #88-00898 AWARD CASE SUMMARY Claimant Igor Dmitrowsky ("Claimant") . alleged that his broker Respondent Steinberg and Lyman ("Steinberg") the introducing broker and Respondent Broadcort Capital Corp. ("B

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Earl H. and Laurine M. Kaeselau Claimant(s) vs. Rose & Company Respondent(s) NOTICE OF ARBITRATION AWARD 88-00897 CASE SUMMARY Claiinant(s) Earl H. and Laurine M. Kaeselau alleged that Respondent (s) Rose & Company bought and sold Duke Power stock without their consent and used the proceeds from the unauthorized sale of 200 shares of Measurex

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n J ) Cal Clegg Claimant ) Award ) NASD #88-00895 vs. ) Shearcon Lehman, Hutton, Inc. Respondent ) SUMMARY OF ISSUES Claimant Cal Clegg filed this action on March 18, 1988 against Shearson Lehman Hutton, Inc. and alleged that his investment of $20,000.00 in two limited partnerships was unsuitable given his stated cons

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03223 Salomon Smith Barney and Russell Bassett Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Sharon Goldszlager, hereinafter referred to as "Claimant": Lee H. Schillinger, Esq. and John A. Brekka, Jr., Esq., Law Office of Lee H. Schillinger, P.A., Hollywood, Florida. For Salomon Smith Barney ("SSB") and Ru

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael R. Sabino, (Claimant) vs. Goldis-Pittsburg Institutional Services, Inc. a/k/a Pittsburg Institutional, Inc. a/k/a Pittsburg Institutional Services, Inc., (Respondent) Case Number: 00-00974 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael R. Sabino, hereinafter referred to as "Claimant": Diana C. Prevete, Esq., Albanese, Albanese & Fiore LLP,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Thaddeus J. and Helen F. Miedlar Claimant(s) vs. E.F. Button & Co., Inc., Jeff Mackevich and Gene Mackevich Respondent(a) AWARD 88-00890 The Arbitrator, Janet Weiss, 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 Ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward L. Bowne Claimant(3) vs. AWARD 88-00889 PaineWebber, Inc., Hector Valdez, and Edward Strohm Respondent(a) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) Edward L. Bowne alleged that Respondent(a) PaineWebber, Inc., Hector Valdez, and Edward Strohm failed to execute a sell order on a timely basis. Respondent(8) deny Claimant's allegation