NATIONAL ASSOCIATION OF SECURITIES DEALERS In ilie Matter 1 < >f the Arbitration Between Marbiu-.i >'> Daniel -luclge vs. Claimants Fidelity Brokerage Services, Inc. Respondent Award #87-01772 The undersigned, being the Arbitrator selected to review and determine .1 matter in controversy between the above-mentioned Claimants and Rpspnmleiit, set forth in a submission to arbitration signed by the parties on August 28, 1987 and Febr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Keith and Katherine M. Keim ) ) Claimants ) and ) A W A R D ) 87-01731 C. Thomas Wahl and Merrill Lynch, Pierce, ) Fenner and Smith Respondents CASE SUMMARY In a claim filed with the NASD on September 15, 1987, Claimants Keith and Katherine Keim ("the Keims") alleged that Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between MARY B. KANE AND JAMES M. BARBER, vs. PAINEWEBBER, INC. AND JEROME C. KELTER, Claimants, Respondents. Case #87-01708 Award Heard before the members of the Arbitration Panel: Leonard H. Davidson, Esq. Ms. Elizabeth L. Clark Mr. Terrence W. Grant CASE SUMMARY This claim was filed with the NASD, Inc. in May 23, 1988. The hearing was con

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. . In the Matter of the Arbitration Between Robert Green Claimant vs. First Florida Securities Group, Inc. Robert C. McClure Richard L. Hoffman Respondents Case #87-01707 AWARD CASE SUMMARY Claimant, Robert Green alleged that Respondents, First Florida Securities Group, Inc., Robert C. McClure and Richard L. Hoffman failed to liquidate JOCOM & ICOM common stock in his account. The C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Weissberg Claimant vs. Datek Securities Corp, Abe King Respondents AWARD #87-01706 Case Summary This proceeding was commenced by the claimant Michael Weissberg ("Mr. Weissberg") against Datek Securities Corp. ("Datek") and Abe King ("Mr. King") arising from the purchase and sale of several over-the-counter securities. Mr. Weissberg alleged

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02505 Horwitz & Associates, Inc., Claimant vs. Michael J. Hanna, Respondent. ATTORNEYS: Claimant. Horwitz & Associates, Inc. ("Claimant") appeared through its in-house counsel, Jerry L. Schwartz, Esq., Northbrook, IL. Respondent, Michael J. Hanna, ("Respondent") did not submit an answer to the Statement of Claim. DATE FILED: May 14, 2001 CASE SUMMARY: Claimant maintained that i

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between )_ ) WILLIAM and EVE LEHRPELD, ) Claimants. ) ) Case 187-01704 vs . ) Award ) RLR SECURITIES GROUP, INC., STANLEY ) LEVIN, NORMAN ROBBINS and ALVIN ROSENBLUM, ) } Respondents. ) Heard before the members of the Arbitration Panel: Arthur J. Leibell, Esq. Steven D. Elias, Esq. Patricia A. Shub, Esq. CASE SUMMARY This claim was filed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Jack and Marsha Cox Claimant ) ) vs. ) CASE NO. 87-01698 PaineWebber, Inc., Respondents ) Robert Fournier, ) Robert Dyer ) SUWARY OF ISSUES This case was filed with the NASD on September 9, 1987. Claimants alleged violation of federal securities laws, federal anti- racketeering Taw, state securities fraud, common law fraud, negligence, breach of o

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In. the Matter of the Arbitration Between ) ) " FRANK CARLINO, ) Claimant, ) ) Case J87-01674 vs. ) Award ) BROOKS, WEINGER, ROBBINS & LEEDS, INC., > SHELDON VfINN and SHELDON PITTLEMAN, ) ) Respondents. ) Heard before the member of the Arbitration Panel: Craig Edward Stein, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on September 4, 1987. The hearing was con

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between F. Warren Colbert vs. Prestige Investors, Inc. Joseph Lugo Jerry Rosen Joseph 0. Rate]iff Claimant Respondents AWARD #87-01631 Case Summary The Claimant F. Warren Colbert claims against the Respondents Prestige Investors, Inc. Joseph Lugo, Jerry Rosen and Joseph 0. Ratcllff arise fro» the offer and sale of several over-the-counter securities.