NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among ) Richard K. McKeel, Jr. and ) Shirley H. McKeel, ) Claimants ) vs. ) Cowen & Co., ) Respondent ) Case #87-01574 and ) Award First Union Brokerage Services, Inc., ) ) Respondent Third-Party Claimant vs. ) J.C. Bradford & Co., ) Third-Party Respondent CASE SUMMARY Claimants alleged that Respondent failed to warn them about t

0 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Salvatore Leo Claimant vs. Viceroy International Securities, Corp. Cowen & Co., Michael Errailio vs. Robert Onesti Respondents Case #87-01571 Award On May 3, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant on July 3, 1987, and by Respondent Cowen

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between Dan Kurzman Florence Kurzman vs. Claimants Case #87-01472 Award David Lerner Associates Benjamin Rabin 4 Respondents CASE SUMMARY Claimants allege Respondents misrepresented risks involved when making an investment in The Gold Fund. Respondents deny any allegations of misrepresent- ations and maintain Claimant's were fully aware of any r

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Thomas and Donna Jones, ) ) Claimants, ) ) Case #87-01352 vs. ) Award ) Ekistic Financial Services Corp., ) Integrated Resources Equity Corp., ) and John F. Orwig, ) ) Respondents. ) ) Heard before the members of the Arbitration Panel: James R. Kennedy Jr., Esq. Richard J. Jones III, Esq. Jeffrey Wuliger CASE SUMMARY

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Case #87-01320 AWARD IN THE MATTER OF THE ARBITRATION BETWEEN Robert F. Fenstermaker Claimant vs. Blinder Robinson & Co., Inc. Respondent CASE SUWARY Claimant Robert Fenstermaker alleged that the Respondent Blinder Robinson & Co., Inc., acting through its employee, misappropriated funds from the sale of stock in his account and that stock was purchased in his account without his author

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Alfonso H. Pena ) ) ' Case #87-01202 Claimant ) vs. ) Award Marshall Davis, Inc. Bruce E. Kitzis - ) Mark Dzarnoski Respondents ) John D. Manson - ) Sender Zucker ) The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in submissions to arb

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Warren Hambly, (Claimant) vs. TD Waterhouse Investor Services, Inc., (Respondent) Case Number: 01-02502 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Warren Hambly, hereinafter referred to as "Claimant", appeared pro se. Respondent, TD Waterhouse Investor Services, Inc., hereinafter referred to as "Respondent": David L. Ward, Esq., Murphy & Michaels,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Gary S. Goltz Sharon R. Goltz VS. Amtax Management Corporation M. Walter Levine ) Between ) ) Claimants ) Respondents j 1 CASE NO. 87-01184 SUMMARY OF ISSUES This case was filed on July 2, 1987. Claimant alleged Respondents fraudulently misrepresented two limited partnership investments as suitable for Claimant's financial position and i

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Richard Pena Claimant vs. ) 'Case #87-01139 Award J.B. Power Securities Plttock Financial Corporation David Oroubay Respondents The undersigned, being the Arbitrator selected to review and and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in submissions to arbitration signed by the Claimant on Ju

NATIONAL ASSOCIATION OF SECURITIES DEALERS - In the Matter of the Arbitration Between Orlando Orsini vs. Key Brokerage Company Michael T. Bagenschi Claimant Respondent Award #87-01135 The undersigned, being the Arbitrator selected to review and determine .1 matter in controversy between the above-mentioned Claimant and Respondents, set forth in Submissions to Arbitration signed by the parties on June 23, 1987 and August 11, 1987, res