NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Isaak Oore, Stanislaw Frankowski, ) Jesse Goldner, and Judith Cromwell ) ) Claimants ) ) CONSOLIDATED and ) CASE NOS. 88-00631, 88-00632 ) and 88-00633 Blinder, Robinson & Co., Inc. ) and Roland Levi } ) Respondents ) CASE SUMMARY Jesse Goldner, Judith Cromwell, Isaak Dore, and Stanislaw Frankowski (collectively referred to herei

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between JOSEPHTHAL i CO.. INC., vs. STANLEY A. and RITA S. MILLER, Claimant Respondents. In the Matter of the Arbitration Between STANLEY A. and RITA S. MILLER. vs. JOSEPHTHAL & CO., INC., Claimants, Respondent. Case 188-00741 Award Case #88-01357 Award Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Mr.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Grady Andrews, Michael BeasJey, Donald Bickford, Thomas Blackwood, Eric Chen, Charles Clapper, Ted Clinton, Thomas Corkran, John Dai, Jeff Donaldson, Lawrence Harmon, Thomas Iverson, Gerald Jacino, Charles Johnson, Bruce Jones, Joe Kelly, Sunil Kharode, Dannnie Marchione, Mark Melling, Eugene Miller, David Morrison, William Murphy, John Nesbitt, Norman Peterson, Keith Potter, Seppo Saar

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In che Matter of the Arbitration Between JOSEPHTHAL 4 CO., INC., vs. STANLEY A. and RITA S. MILLER, Claimant Respondents, In the Matter of the Arbitration Between STANLEY A. and RITA S. MILLER. vs. JOSEPHTHAL 6 CO., INC., Claimants, Respondent. Case #88-00741 Award Case #88-01357 Award Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Mr.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between CHANDLER P. and NORA HADHA Claimants v. AMERITRADE, INC. and JOHN JOE RICKETTS Respondents v. SNC CAPITAL MANAGEMENT CORP. Third Party Respondent ) NASD No. 88-00460 1 CASE SUMMARY Chander P. & Nora Wadwa ("Claimants") alleged that Ameritrade, Inc. and John Joe Ricketts ("Respondents") engaged in the following: 1. Respondents imprope

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Paul Burman ) Josephine T. Burman ) Claimants ) ) Case #88-00450 vs. ) Award ) Folger Nolan Fleming Douglas, Inc. Eugene F. Roesser, Jr. Respondents ) CASE SUMMARY Claimants Paul and Josephine T. Burman (hereinafter "Claimants") allege that Respondents Folger Nolan Fleming Douglas, Inc. and Eugene F. Roesser, Jr. (hereinafter "Responde

NATIONAL ASSOCIATION OF SECURJTTflS nRAT f T7RS. INC. In the Matter of the Arbitration Among Wayne Becker and Arleen Becker Claimants vs. Case #88-00448 Award Tom W. Alison and Shearson Lehman Brother, Inc. Respondents Heard before: Michael A. Caldwell i'uLlic arbitrator Ellwood F. Oakley, III Public arbitrator Robert Schaffer Industry arbitrator CASE SUMMARY This claim was initiated by a Statement of Claim filed with the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Morton Lopate vs. G.K. Scott & Co., Inc. John Kevorkian Claimant ) j 1 Respondents ) Case #88-00443 Award CASE SUMMARY Claimant alleges Respondents misrepresentation involving the purchase of 9,000 shares of Enterprise Technologies and 10,000 shares of Robotronix Corp. Respondents maintain proper disclosure and information was made ava

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) Otto A. Schulze and Virginia S. Schulze, ) Claimant, ) ) Case /88-00441 vs. ) Award Thomson McKinnon Securities, Inc., ) Respondent. ) Heard before the members of the Arbitration Panel: H. Steven Holtzman Sam Giunta Allison Hardage On April 23, 1989, the arbitrators heard the controversy between the parties as set forth in submissions to arbit

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) DR. GAYLORD LEWIS, ) Claimant, ) ) Case /88-00435 vs. ) Award E. F. HUTTON & COMPANY, INC. and ) J. ROBERT SORY, JR., ) Respondents ) Heard before the members of the Arbitration Panel: Joseph L. Bernstein, Esq. Norris L. Friedlander Joseph M. Luby CASE SUMMARY This claim was filed with the NASD, Inc. on February 10, 1988. The hearing w