N.A.S.D. AWARD NKTICNKL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betareen of Mike and Kathleen Magicncaida 90-00617 o Kevin Sullivan Philip Falcone Claimants alleged that Respondent Philip Falcone misrepresented units of J.T. Moran Financial Corporation, guaranteed that the Claimants would suffer IKS losses on the investment of their life savings in this security, and failed to sell the units when requested to d

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frank And Carolina Ruggiero Claimants AWARD vs . Harvey and Murray Bell Respondents Case #90-00609 CASE SUMMARY Claimants, Frank and Carolina Ruggiero ("Claimants") alleged that Respondents, Harvey and Murray Bell ("Respondents") placed them in an unsuitable investment. Claimants alleged that they told Respondents they wanted to "earn as muc

N.A.S.D. AWARD NAUCNRL ASSOCTAHCW OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of Aaron Cohen, Saxa Cohen & Nissim Mansur 90-00598 Name of Respondent (s) E.F. Button & Ccnpany, Inc., T^aHman Button, IDC. ,HOW known as Shearscn r^Hman Brothers, Inc. Susan Hagerty M.W. "Mite" Minces For Claimant: Aaron Cohen, Sara Cohen and Nissim Mansur were represented by Brantly Harris, Esq., Houston, Texas and Sidney L. Fanne

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John Seneta Claimant vs . CASE #90-00591 AWARD Shearson Lehman Button r Inc. Respondent CASE SUMMARY John Seneta, in a claim filed with the National Association of Securities Dealers, Inc. on February 8, 1990, alleged that Respondent sold securities which were unsuitable for Claimant. Respondent, Shearson Lehman Button, Inc., maintai

Arbitration National Association ol Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. New York 10004 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between National Securities Network, Inc. Claimant Award vs. Case* 90-00590 First Independent Holding Corporation Respondent CASE SUMMARY Claimant, National Securities Network, Inc. ("Claimant") alleged that Respond

NATIONAL ASSOCIATION OF SECURITIES DEALERS f INC. In the Matter of the Arbitration Between ) J.J. Parker ) Claimant ) ) AWARD vs. ) ) NASD #90-00587 Shearson Lehman Hutton, Inc. ) Respondent ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on February 26, 1990. Claimant alleged negligent handling of his account, discontinued service to his account and negligent sup

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Arnold Laub Claimant ) vs. ) AWARD Shearson Lehman Hutton, Inc. ) Steven Brom Wilner Respondents ) CASE NO. 90-00584 SUMMARY OF ISSUES Claimant alleged Respondents failed to disclose to him the risks inherent in his purchase of the thinly-traded common stock of Advanced Biotherapy Concepts, Inc., and further failed to inform him of the deteriorating finan

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Claimant J.J.B. Milliard, W.L. Lyons, Inc. Respondent John C. Sabo Case No. 00-04739 REPRESENTATION OF PARTIES Claimant J.J.B. Milliard, W.L Lyons, Inc. ("Milliard Lyons") was represented by Attorney Michael N. Ungar, Esq. of the law firm of Ulmer & Berne, LLP, Cleveland, Ohio. Respondent John C. Sabo ("Respondent") was represented by Attorney Brian A. Ca

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Stuart Elovitz ttaQj^ofRdBGQnctentlfi^ Prudential-Bache Securities Inc. Prudential-Bache Agriculture Inc. 90-oose In A claim filed with the National Association of Securities Dealers, inc. ("NASD") on or about February 27, 1990, Dr. Stuart Elovitz ("Claimant") alleged that Prudential-Bache Securities Inc. and Prudential-Bache Agriculture, Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-00578 AWARD In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant vs. Peter J. Sabastiano Respondent CASE SUMMARY Charles Schwab & Co., Inc., in a claim filed with the National Association of Securities Dealers, Inc. on February 27, 1990, alleged that Respondent and customer, Peter J. Sabastiano, has filed to pay a debit balance in his account No. 7986-8