NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between : CASE #'s David Lewis Trust Richard J. Lewis on behalf of Harriet Lewis Gayle Lewis Richard J. Lewis Claimants vs. 87-02870 87-02871 87-02872 87-02873 AWARD Merrill Lynch Pierce Fenner & Smith, Inc. Norman Rockoff Respondents CASE SUMMARY Claimants allege that Respondents made unsuitable and unauthorized trades in th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between David Lewis Trust Richard J. Lewis on behalf of Harriet Lewis Gayle Lewis Richard J. Lewis Claimants vs. Merrill Lynch Pierce Fenner & Smith, Inc. Norman Rockoff Respondents CASE #'s 87-02870 87-02871 87-02872 87-02873 AWARD CASE SUMMARY Claimants allege that Respondents made unsuitable and unauthorized trades in thei

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between CASE fa David Lewis Trust Richard J. Lewis on behalf of Harriet Lewis Gayle Lewis Richard J. Lewis Claimants vs. 87-02870 87-02871 87-02872 87-02873 AWARD Merrill Lynch Pierce Fenner & Smith, Inc. Norman Rockoff Respondents CASE SUMMARY Claimants allege that Respondents made unsuitable and unauthorized trades in their

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Adolf Kohn NASD Arbitration No. 93-00497 Name of Respondents Bekhor Securities Corporation, dba First Affiliated Securities Bekhor International Group, Inc. aka International Barter Investment Group, Inc. Jonathan E. S. Bekhor REPRESENTATION For Claimants: Mark A. Potter, Esq. - San Diego, California For R

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Pamela Ware, and Pamela Ware, Trustee for the Pamela Ware Revocable Living Trust DTD 7-21-87, Claimants, v. No. 93-00479 Kenneth Osier, Respondent. i REPRESENTATION OF PARTIES Claimants Pamela Ware and Pamela Ware, Trustee for the Pamela Ware Revocable Living Trust DTD 7-21-87 ("Claimants") were represented by Walter L. Baumgardner,

N.A.S.D. AWARD NATIONAL ASSOCIATION j?F SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Mared Industries Inc. Pension and Profit Sharing Trust and Edward Guttenberg NASD Arbitration No. 93-00441 Name of Respondent fs) Gruntal & Co., Inc. Ira T. Distenfield REPRESENTATION For Claimants: Bruce R. Safran, Esq., Sherman Oaks, California For Respondent Gruntal & Co., Inc.: Eric S. Hutner, Esq., Gr

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Mel F. Pervais, Claimant, v. NASD No. 93-349 Kidder. Peabody & Co.. Cruttenden & Co.,jf and Richard Adler, Respondents. Representation For Claimants: Kyle Kennelly, Julian, California, Richard DeVita, Esq. of Hoboken, New Jersey and Frederick Phillips, Esq. of Phillips, Haskett & Ingwerson, San Diego, California For Respondents Cruttenden & Co and R

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of Arbitration Between Barbara Harris Polomc', Claimant, and No. 93-00287 Delta First Financial, Inc., J.W. Dicks, and Nick Andrews, Respondents. REPRESENTATION OF PARTIES Claimant, Barbara Ham's Polome" was represented by Edward P. Watt, Hsquire of Watt & Associates, P.C.. located in Austin. Texas. Respondents, Delta First Financial, Inc. and Nick Andrews were repres

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roxanne G. Salsman, Claimant Case Number: 01-02558 v. Morgan Stanley DW, Inc. and Lanny S.Rominger, Hearing Site: Albuquerque, New Mexico Respondents NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant, Roxanne G. Salsman ("Salsman"), hereinafter referred to as "Claimant": Thomas J. Schuchert, Esq., located i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Roger Ulrich 93-00281 Name of Respondents) Wharton P. Whitaker Eaton Vance Distributors, Inc. REPRESENTATION Claimant, Roger Ulrich ("Ulrich") was represented by John R. Kiefner, Jr., Esq. of Riden, Earte & Kiefner, P.A., St. Petersburg, FL. Respondent, Eaton Vance Distributors, Inc. ("Eaton Vance") was represented by A. Inge Se