NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Chester A. & Evelyn H. Smith Claimants vs. #87-02717 Merrill Lynch, Pierce, Fenner & Smith, Inc. Dean Witter Reynolds, Inc. Respondents 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 to arbitration signed by the parties on

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among J.P. ThibauH Bouet, vs. Copeland Securities, Inc., vs. Kenneth Lissak, Claimant Respondent/ Third-Party Claimant Third-Party Respondent Case #87-02711 Award CASE SUMMARY Claimant alleges that on July 30, 1987, he called Kenneth Lissak from Tokyo and gave him an order to sell 6000 shares of Total Health stock and that his sell o

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Kenneth Briggs, Claimant vs. Brooks Weinger Robbins & Leeds, Inc., Respondent/ Third-Party Claimant Case #87-02706 Award vs. Michael Yeates Crump, Third- Party ) Respondent ) CASE SUMMARY Claimant alleges that his broker Michael Yeates Crump failed to recommend profitable stocks which Respondent, Brooks Weinger Robbins and Leeds, I

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ronald Steven Blum Claimant(s) vs. 87-02710 Richard Blackman & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Ronald Steven Blum alleged that Respondent Richard Blackman & Co. failed to execute a. sell order in a timely manner. Additionally, Ronald Steven Blum alleged that this failure to execute forced him to sell other secur

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02569 Robert Kohn Names of the Respondents Hearing Site: Boca Raton, FL Prudential Securities, Inc. Steven Frank Esposito REPRESENTATION OF PARTIES For Robert Kohn, hereinafter referred to as "Claimant": Kenneth E. Keechl, Esq., Brinkley, McNeray, Morgan, Solomon & Tatum, L.L.P., Ft. Lauderdale, FL. For Prudential Securities, Inc. ("PSI") and Steven Fra

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between GLIKSMAN SECURITIES CORPORATION, HARRY GLIKSMAN and ROSEMARY E. SHANNON, Claimants, v. NASD No. 93-916 WEDBUSH MORGAN SECURITIES, INC. and EDWARD W. WEDBUSH, Respondents. Representation For Claimant: Rosemary Shannon - Pro Se, Los Angeles, California; Gliksman Securities Corp. - Rosemary Shannon, Los Angeles, California; Harry Gliksman - M. Alys

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jan Arnett 93-00914 Name of Respondents Commonwealth Associates James Giordano REPRESENTATION For Claimant Jan Arnett ("Claimant") appeared Evan L. Gordon, Esq., New York, New York. For Respondent Commonwealth Associates ("Commonwealth") appeared David S. Richan, Esq. from the law firm of Tenzer, Greenblatt, Fallen & Kaplan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Estate of George W. Feltyberger, Sr. 93-00903 Name of Respondents Gruntal & Co., Inc. Regional Clearing Corp. Kashner Davidson Securities Corporation Name of Third Party Respondent George W. Feltyberger, Jr. REPRESENTATION For Claimant, David A. Steves, Esq., as personal representative of the Estate of George W. Fel

• N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Homer W. and Mary Magnus 93-00885 Name of Respondent Josephthal Lyon & Ross, Inc. Nick Esposito REPRESENTATION For Claimants Homer W. and Mary Magnus ("Claimants") appeared Morgan W. Bentley, Esq., a sole practitioner located in Newark, New Jersey. For Respondents Josephthal Lyon & Ross, Inc. ("Josepbthal") and Nick Esposito

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nancy C. Johnson 93-00874 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Joseph J. Paskoski REPRESENTATION For Claimant, Nancy C. Johnson ("Johnson"): Richard W. Epstein, Esq. of Greenspoon Marder Hirschfeld & Fafkin, Fort Lauderdale, Florida. For Respondents, Merrill Lynch Pierce Fenner & Smith ("ML") and Jose