Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Union Securities, Inc., (Claimant) vs. James D. Becker, (Respondent) Case Number: 01-03205 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, First Union Securities, Inc., hereinafter referred to as "Claimant": Ronald Kane, Esq. and Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL. Previously represented by: Renan I. Sugarman, Esq., Senior Vice Pr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the^Matter of the Arbitration Between) ) Ruth M. Musloe and Marcel la M. Tekstar ) ) Claimants ) and ) A W A R D } 88-00663 Drexel Burnham Lambert and ) Peter and Jane Doe Leifer ) Respondents ) CASE SUMMARY In a claim filed with the NASD on February 24, 1988, Claimant Ruth M. Musloe {"Musloe") and Claimant Marcella M. Tekstar ("Tekstar") alleged that Respondents Drexel Burn

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Duncan Bazemore Loretta Bazemore vs. Birr Wilson & Co., Inc. Robert Wotherscoon Claimants Respondents ) ) ) ) ) ) ) AWARD ) NASD NO. 88-00651 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on February 29, 1988. alleged the following: fraud, negligent co

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) SRI VENTKATESWARA ENTERPRISE ) v. ) NASD No. 88-00646 MERRILL LYNCH, PIERCE, FENNER ) & SMITH, INC. & ALLEN LOVE et a] ) Respondents ) CASE SUMMARY SRI Yentkateswara Enterprise, a partnership ("Claimant") alleged that Merrill Lynch, Pierce, Fenner & Smith, Inc. and Alan Love (collectively referred to herein as "Respondents") were negligent in failin

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bonnie McDermott Claimant(s) vs. Blinder, Robinson & Co., Inc. and John Bennett Respondent(s} NOTICE OF ARBITRATION AWARD 88-00642 CASE SUMMARY Claimant Bonnie McDerrcott alleged that Respondents Blinder, Robinson & Co., Inc. and John Bennett executed unauthorized transactions in Claimant's IRA account. RELIEF REQUESTED Claimant Bonnie McD

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Alfred N. Bjornsen Claimant vs. First Affiliated Securities, Inc. vs. Thomas Missler Respondents OATH AND AWARD OF ARBITRATOR 88-00641 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Alan B. Shaw vs. Claimant Prudential-Bache Securities, Inc. Respondent Case #88-00640 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 Alan B. Shaw on February 18, 1988 and not signed by the R

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Douglas E. Campbell and Wanda P. vs. t Roger Riley PaineWebber, Inc. Between ) ) Campbell ) ) Claimants ) ) ) ) Respondents ) ) Case #88-00635 Award The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimants and Respondents, set forth in submissions

NATIONAL -:>sw:i;-nwi OF -JECURIT-ES DEALER, INC. [n the Master of the Arbitration Between Catherine Sepe ; CASE #88-00628 Gennaro S'-pe AWARD and Catherine Sepe as Executrix of the i Estate of Peter Sepe Claimants VS. ; Blinder, i!obinson & Co., Inc. -1fred Ge> riets Respondents CASE SUMMARY Cla mants al lege that Alfred Gerriets, formerly a registered representative with Blinder, Robinson & Co., Inc., recommended that they sell

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between Ricky C. Pennisi Name of Respondent Prudential-Bache Securities Inc. AWARD Case #88-00627 Claimant, Ricky C. Pennisi (hereinafter "Claimant") alleged that Respondent, Prudential Bache Securities, Inc. (hereinafter "Respondent") failed to supervise the broker handling Claimant's account. Claimant alleged that his account was improperly man