F ;:r;rnp IT] i:;s DEALERS, i nr . i t IIP Matter ft hhe Ai b i t i .1 1: i on n< ^ w^^n/ Among , c 'he] rjon A . Wa J iersl ° ' n R^t i rem^nt Trns t C! J a imant vs . I) i no Liso .!. F. Lowe & Company ( M.i: a Clearing f tin: . CASE 90-00985 AWARD CASE.. .SUMMARY < ' I ri i mant , Sheldon A . Wa I J '^r^ tie in Ret .i rement Trust ( hei'einaftor "Claimant " ) alleged that Respondents Dino Liso mishandled f'J o i man

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betwaen Florence Wilma Elerbeck 90-00984 Name of Respondent Boucher, Oehmke & Quinn In a claim filed with the National Association of Securities Dealers, Inc. ("NASD"), Florence Wilma Slerbeck ("Claimant") alleged that Gary Anderson, a broker employed by Boucher, Oehmke & Quinn ("Respondent") made material misrepresentation regarding the commission to be p

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Dovsky and Sylvia Tilhnan, Claimants v. Jeffrey A. Vann, Garry H. Grace, and Thomas H. Sunderland, Respondents Case Number: 00-04721 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Michael Dovsky and Sylvia Tillman In Pro Per Encinitas, California For Respondents Jeffrey A. Vann and Garry H. Grace: G. Mark Brewer, Esq. Brewer & Ca

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant: Mapleton Plaza Partnership 90-00979 Name of Hie Stuart-James Conpany, Inc. Jim Ronano Dirk Nye In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about April 3, 1990, Mapleton Plaza Partnership ("Claimant") alleged that the Stuart-James Co,, Inc., Jim Ronano and Dirk Itye (collect

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between } ) Drake Kennedy and Brian Kennedy ) Co-Trustees of the Regency ) Outdoor Advertising Inc. ) Profit Sharing Plan ) Claimants ) ) AWARD vs. ) ) NASD #90-00978 Charles Schwab & Co. Inc. ) Respondent ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers , Inc . ( "NASD" ) on April 3 , 1990 . Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wedbush Morgan Securities, Inc. Claimant(s) vs. Gary H. Manchester, trustee f/b/o Gary H. Manchester Profit Sharing Plan Respondent(s) NOTICE OF ARBITRATION AWARD 90-00977 CASE SUMMARY Claimant(s) Wedbush Morgan Securities, Inc. alleged that Respondent(s) Gary H. Manchester, trustee f/b/o Gary H. Manchester Profit Sharing Plan has not

® N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mams of Arbitration National Association of S«curitles Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdate, Rorida 33301 (305) 522-7391 Sidney & Audrey Goldstein CASE #90-00976 Name of Respondent f s Robert Sandusky Heard before the Arbitrator: Howard E. Kurzweil, Esq. CASE This claim was filed w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Julie C. Cochario Claimant vs. Jonathan Alan & Co., Inc. » Respondent' CASE SUMMARY Claimant, Julie C. Cochario ("Claimant"), alleged that the Respondent, Jonathan Alan & Co., Inc * ("Respondent"), acting through its employees, traded options in the Claimant's account without her prior knowledge or consent* Claimant also alleged that she paid fo

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Leon Feldan Claimant vs. Schweitzer & Co., and L.C. Wegard & Co. Respondents OATH AND AWARD OF ARBITRATOR 90-00967 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or related by blood or marriage t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant American Financial Security Company, Inc. and 90-00966 Name of Respondents Securities Settlement Corporation Robert M. Fehrman, Silvestro F. Veneziano, Jerome S. Stein, and Westport Financial Group, Inc. REPRESENTATION OF PARTIES Claimant, American Financial Security Company, Inc. was represented by Timothy N. Vujni