NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; / James S. Rice ; / Claimant ; vs. ; CASE #91-02943 AWARD Linda Dowd ; / Respondent ; CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 23, 1991, claimant James S. Rice who appeared pro se, alleged that Respondent Linda Dowd misled him into purchasing 1,000 shares of National Media Cor

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between James P. and Eileen A. Goulette, JTWROS Claimant vs. Chuck Barker Hibbard Brown & Co. , Inc. Respondents CASE #90-02471 AWARD CASE SUMMARY James P. and Eileen A. Goulette, in a claim filed with the National Association of Securities Dealers, Inc. on September 6, 1990, alleged that Respondent Chuck Barker, a registered representative with Hib

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00170 The Marilyn Eisenberg Revocable Trust, Benjamin P. Eisenberg and Marilyn Eisenberg, Trustees, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant, The Marilyn Eisenberg Revocable Trust, Benjamin P. Eisenberg and Marilyn Eisenberg, Trustees ("Claimant"), appeared Jeffrey B. Kaplan, Esq., Dimond Kaplan & Rothstein, P.A., Miami, FL. For Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., Inc., (Claimant,) vs. Brett Spindler (Respondent) Case Number: 04-00169 Hearing Site: New York, New York. Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Oppenheimer & Co. Inc., hereinafter referred to as "Claimant": Michael J. McAllister, Esq., Satterlee Stephens Burke & Burke LLP, New York, NY. Respondent Brett Spindler

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant . ' David L. Freibert i p . v. 04-00168 Louisville, Kentucky Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and Richard Scott Park Nature of Dispute: Customer v. Member andAssociated Person . REPRESENTATION OF PARTIES David L, Freibert ("Claimant") was represented by Wesley A. Gersh, Esq., of Morris, Garlove, \Vaterman, & Johnson, PLLC, Lo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-00161 Rino and Shirley Borean Names of the Respondents Hearing Site: Tampa, FL Lincoln National Life Insurance Company Darrell G. Frazier Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Rino and Shirley Borean, hereinafter collectively referred to as "Claimants": Thomas J. B

Stipulated Award NASD In the Matter of the Arbitration Between: Name of Claimant James and Debra Cole Names of Respondents Salomon Smith Barney, Inc. Robert E. McMann Case Number: 02-00969 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For James and Debra Cole ("Claimant"): Rodney L. Russell, Esq., Russell Law Offices, P.A., Orlando, Florida. For Salomon Smith Barney ("SSB") and Robert E. McMann ("McMann"), collectively referre

STIPULATED AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Glenn McNeill, ("Claimant") vs. A.G. Edwards & Sons, Inc., and Cormac Niall Maghan (Respondents) Case Number 01-02245 Hearing Site: New York, New York REPRESENTATION OF THE PARTIES For Claimant Glenn McNeill ("Claimant"), George L. Mahr, HI, George L. Mahr, P.C., Madison, New Jersey For Respondents A.G. Edwards & Sons, Inc., ("Edwards") and Cormac Niall Maughan ("

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kraig W. Killough v. Olde Discount Corporation d/b/a/ Olde Discount Brokers Case Number: 00-00815 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Kraig W. Killough, hereinafter referred to as "Claimant," was represented by Craig J. Snyder, Esq. located in Stoudsburg, Pennsylvania. Olde Discount Corporation d/b/a/ Olde Discount Brokers, hereinafter referred to as

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05408 Margalee Magoon, claimant v. The Ohio Company, respondent. ATTORNEYS: For Claimant Claimant appeared pro se - Lansing, ML For Respondent appeared Gregory J. Betchkal - Columbus, OH. DATE FILED: 12/6/96, CASE SUMMARY: Claimant alleged unsuitability and fraud in the management an investment in a Phoenix Leasing limited partnership. Claim Data A