NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George Andreakis Claimant Case 187-01111 vs. Award Prudential-B,-.che Securities, Inc. Bruce Vo11 rath Respondents The unders'.gned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in submissions to arbitration signed by the parties on June 17, 1987 and

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Francis M. and Jean H. Blanchard Claimants vs. ) Case i 87-01080 Award E.F. Mutton, Inc. Respondent The undersigned, being the arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent as set forth in a submission to arbitration signed by the Parties on April 4, 1987 and October 27, 1987;

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Case #87-01052 Award In the Matter of the Arbitration Between ) ) Florence L. Okin, ) ) Claimant ) vs. ) ISFA Corporation, ) ) Respondent ) ) CASE SUMMARY Claimant, Florence Okin, alleges that on March 29, 1986, she transferred funds from two Dollar Dry Dock Bank IRAs and instructed Respondent, Invest Corp., to purchase four Ogden Corp convertible 5593 bonds at 98 plus

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) John Varnas Claimant ) vs. ) AWARD Robert L. Davidson, Jr. Respondent ) CASE NO. 87-01008 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on June 15, 1987. Claimant alleged Respondent made an unauthorized purchase of Franklin Custodian Funds, and then deducted a commission from Claimant's shares of the

NATIONAL ASSOCIATION OF SECURITIES DEALERS ) ) In The Matter Of The Arbitration Between) Weems R. Pennington, Jr., M.D., et al., ) Claimants, ) AWARD vs. ) #87-00970 Bear Stearns & Co., Inc., ) Shearson Lehman/American Express, Inc., ) Harry Henzel, ) Respondents. ) Case Summary This proceeding was commenced initially on March 16, 1987 by Claimants Weems R. Pennington, Jr., M.O. ("Dr. Pennington"), Harper, Harper & Pennington, P.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Sara May Schmunk Claimant ) vs. ) AWARD First Florida Securities Group, Respondents ) CASE NO. 87-00914 Inc., Monvest Securities, Inc. and ) Richard S. Hoffman, Jr. ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 4, 1987. Claimant alleged that Respondents failed to execute sell orders place

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Charles and Mary Kleckner, Claimants vs. Janney Montgomery Scott & Co., Yorke McCarter Owen & Bartels, Broadchild Securities Corp., O.H. Blair Co., Inc. and Edward Beaudette Inc., Inc., Respondents Case #87-00875 Award CASE SUMMARY Claimants alleged that Edward Beaudette, while in the employ of the above-captioned four firms liquid

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: Arthur E. Marchetta 01-02492 Names of the Respondents Hearing Site: UBS PaineWebber, Inc. and Charles R. Lang Boca Raton, FL REPRESENTATION OF PARTIES For Arthur E. Marchetta, hereinafter referred to as "Claimant": Arthur E. Marchetta, Esq., Maier & Marchetta, Fort Lauderdale, FL. For UBS PaineWebber, Inc. ("PW") and Charles R. Lang ('Lang"), herein

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Richard Russo Claimant ) vs. ) CASE NO. 87-00847 Bateman Eichler, Hill Richards, Respondents ) Inc., Steven Brixey, Paul Smith ) and Susan West ) SUWARY OF ISSUES Claimant filed this claim with the NASD on June 17, 1987 for wrongful termination, breach of contract, breach of the implied covenant of good faith and fair dealing, and interference w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between ) ) Joseph Kutyana and Betty Kutyana Claimants ) VS. Greentree Securities Edward A. Viner & Co Sajjad Ahmed Corporation ., Inc. Respondents ) ) ) ) ) ) ) ) ) ) ) Case *87-OQ711 Award The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the a