V.A'Ci^A- =ttut^ ''ES =„-EWAn '.; SOARD In the Matter of the Arbitration between Claimants, v. ROBERT ROSENBERG and NORRIS & HIRSHBERG, INC., Respondents. OCT 18 1992 "•" .'^ *•   r \ r- Hf. n .. ».. AWARD MS 91-60 The Undersigned, pursuant to Section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimants allege, among other things, that Respondents recommended certain mu

MUNICIPAL SECURITIES RULEVIAKING BOARD Sir- • * ^f\ In the Matter of the Arbitration between WALTER F. WISCHHOVER C/F CHRISTOPHER WISCHHOVER (A MINOR), Claimant, V. THOMAS B. SAVILLE; THOMAS P. ENGLISH and MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC., Respondents. t AWARD MS91-59 SCl-020 The Undersigned, pursuant to Section 31 of MSRB Rule G-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED Claimant all

m. » 4 1992 MUNICIPAL SECURITIES BULEMAMNG BOARf In the Matter of the Arbitration between Claimant, V. ROBERT J. KENGOTT and GRIFFIN, KUBIK, STEPHENS AND THOMPSON, INC., Respondents. RLCriwBh AWARD MS 91-56 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant alleges that Respondents made misrepresentations and omissions of material facts in connection with the

MuN'Ci^AL SECURITIES RULEVAMNG BOARD SEP 2 W92 In the Matter of the Arbitration between Claimant, V. GRIFFIN, KUBIK, STEPHENS AND THOMPSON, INC., Respondent. AWARD MS 91-55 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimant alleges that Respondent made misrepresentations and omissions of material facts in connection with the sale to Claim- ant of the following municip

< ^-, •"^ '•». < k -\ |IK( Vi IW MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimants, V. BOETTCHER & COMPANY, A DIVISION OF KEMPER SECURITIES GROUP, INC and JOHN T. WOLFF, Respondents. I AWARD MS 91-50 .J* The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimants allege that on or about June 13, 1988, Respondent Joh

'NAY 28 1992 MUNICIPAL SECURITIES RULEMAKING BOARD .?; «»• In the Matter of the Arbitration between MARVIN GELBER, Claimant, v. LFG INVESTMENTS, INC., FORMERLY LANDMARK INVESTMENT SERVICES, Respondent. AWARD MS91-48 SCl-018 The Undersigned, pursuant to Section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant alleges that on 7/30/85 Claimant purchased from Respondent $90,000 MARYLAND HLTH & EDL FAC

fHfiV •• *l MUNICIPAL SECURITIES RULEMAKING BOARD NOV 18 W2 In the Matter of the Arbitration between Claimant, v. BOETTCHER & COMPANY, A DIVISION OF KEMPER SECURITIES GROUP, INC., Respondent. AWARD MS 91-44 The Undersigned, pursuant to section 31 of MSRB rule 6-35, hereby state as follows: CASE SUMMARY Claimant alleges, among other things, claims for violations of Section 12(2) of the Securities Act of 1933, Section 10(b)

MUNICIPAL SECURITIES RULEMAKING BOARD **'' M; In the Matter of the Arbitration between : • • V. PAUL J. BAUiON, JR., Claimants, : Respondent. : AWARD NS91-42 SC1-017 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY On March 17, 1988, Claimants purchased fron Respondent Paul J. Ballon, Jr., at the tine a registered representative of Swink & Conpany, Inc., $5,000 face ano

MUNICIPAL SECURITIES RULEMAKING BOARD APR 6 mi In the Matter of the V. MICHAEL D. BERLOFF, Arbitration between : Claimant, : Respondent. : ik>;«U AWARD MS 91-38 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimant alleges that Respondent Michael D. Berloff, a registered representative of Prudential-Bache Securities, Inc., failed to follow Claimant's investment o

MUNICIPAL SECURITIES RULEMAKING BOARD SEP 12 1991 In the Matter of the Arbitration between JOHN A. SULLIVAN and CAROLYN M. SULLIVAN, Claimants, v. HARVEY DANIELS and JOHNSTON, BROWN, BURNETT & KNIGHT, INC., Respondents. AWARD MS91-37 SCl-016 The Undersigned, pursuant to Section 31 of MSRB Rule G-35, hereby states as follows: CASE SUMMARY Clainants allege in their Statenent of Clain that Respondent Harvey Daniels (