NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) DONALD M. and MILDRED KUHNS, ) Claimants. ) ) Case 187-01568 vs. ) Award ) BESHANY BROWN & CO., BROWN S HAWK, INC.. ) K.W. BROWN J. CO. d/b/a K.W. BROWN INVESTMENTS ) and EDWARD A. VINER i CO. n/k/a FAHNESTOCK & CO.. ) ) Respondents. ) ) Heard before the members of the Arbitration Panel: Howard E. Kurzweil, Esq. Mr. Thomas E. Swe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Mona Georgi Claimant ) Award vs. ) CASE NO. 87-01552 Thomson McKinnon Securities, Inc. ) S. Richard Oltman ) Joyce Wieselmann Respondents ) SUMMARY OF ISSUES This claim was filed on September 2, 1987. Claimant alleged lack of suitability and misrepresentation in the sale of Kaiser Steel preferred B stock. Respondents denied claimant's allegations and

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Lois M. Cook ) Claimant ) and ) A W A R 0 ) 87-01497 E. F. Hutton & Company, Inc. and Thomas Woolsey Respondents ) CASE SUMMARY In a claim filed with the NASD on August 11, 1987, Claimant Lois Cook ("Cook") alleged that Respondents E.F. Hutton & Co., Inc. and Thomas Woolsey ("Hutton" and "Woolsey") breached their fiduciary duty to Coo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Great American Airways Claimant ) ) AWARD vs. ) CASE NOS. 86-00279 ) 86-00280 0. H. Blair & Co., Inc. and Respondents ) Richard Stoyeck ) Great American Airways Claimant ) vs. Bear Stearns & Co., Inc. and Respondents Richard Stoyeck SUMMARY OF ISSUES Claimant Great American Airways ("GAA") filed the above-captioned claims on January 2, 198

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Great American Airways vs. 0. H, Blair & Co., Inc. and Richard Stoyeck Great American Airways Between Claimant j • J ) Respondents i ) Claimant ) ] vs. Bear Stearns & Co., Inc. and Richard Stoyeck Respondents AWARD CASE NOS. 86-00279 86-00280 SUWARY OF ISSUES Claimant Great American Airways ("GAA") filed the a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) / • ' > V JOHN G. TAUSSIG, Jr., Attorney, ) \ n P.C. DEFINED BENEFIT ) \ •-:-, >> PLAN AND JOHN G. TAUSSIG, III ) , '-. '? Claimants ) and ) \ ,x ) CASE NO. 87-01132 -• BLINDER, ROBINSON & CO., INC. AND ) and 87-00552 "O JOHN 8EGLEY ) ) Respondents ) CASE SUMMARY In claims filed with the NASO on or about March 23, 1987 and on or abo

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN WILLIAM A. BALDWIN CLAIMANT COWEN & COMPANY, INC. AWARD MAX ISAACMAN 87-00502 SCHUYLER PULFORD BARBARA PATTERSON TODD ROGGEN RESPONDENTS CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 24, 1987, Claimant William A. Baldwin ("Baldwin") alleged the Respondents Cowen & Company, Inc. ("Cowen"), Ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS In The Matter of Arbitration Among Ronald and Ann K. Marsh Claimants vs. Shearson Lehman Brothers, Inc., Raymond Clements and Richard Hadaya Respondents Case #87-00321 Case Summary In the Statement of Claim filed with the NASD on March 11, 1987, Claimants, xRonald and Ann K. Marsh, alleged that respondents' incompetently and negligently entered the Claimants into investment transactions that

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Susan R. Jaros and 01-02491 Dallas, Texas Josephthal & Co., Inc. John W. Ezell Rick Ohlhaber REPRESENTATION OF PARTIES Susan R. Jaros ("Claimant") was represented by John E. Dees, Esq., Dallas, Texas. Josephthal & Co., Inc. ("Respondent Josephthal"), John W. Ezell ("Respondent Ezell") and Rick Ohlhaber ("Respondent Ohlhaber")(collectively as

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In t;,e Matter of the Arbitration Between riorris ^retnias Claimant Case #87-00189 vs. ) Award Datek Securities Corporation Respondents ) Edward A. Viner and Company, Inc. ) The undersigned, being the Arbitrator selected to review and determine a mattsr in controversy between the above-mentioned Claimant and Respondents, set forth in submissions to arbitration signed by the Parties on January 4, 1