MUNICIPAL SECURITPES RULEMAKING BOARD RfCOVb Aus ii mo In the Matter of the Arbitration Between Claimant, V. SMITH BARNEY, HARRIS UPHAM & COMPANY, INC. and ANDREW MOLOT, Respondents. AWARD MS 88-104 CASE SUMMARY Claimant sought to recover damages from Respondents' alleged intentional and/or reckless misrepresentations or omissions of material facts in connection with the purchase and sale of municipal bonds by Claimant. C

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between V. DAIN BOSWORTH INCORPORATED, Claimants, Respondent. AWARD MS89-55 SC9-024 The Undersigned, pursuant to section 34(f) of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimants and ("Claimant," when used in the singular hereinafter, to mean ) allege that Respondent Dain Bosworth, Incorporated misrepresented the safety of an investment in

MUNICIPAL SECURITIES RULEMAKING BOARD In the DREXEL Matter of the V. BURNHAM Arbitration between LAMBERT Claimants, INCORPORATED, Respondent. AWARD MS88-99 SC8-041 The UNDERSIGNED, pursuant to MSRB Rule G-35. Section 34(f), hereby states as follows: I have been selected to act as arbitrator and to review and determine the captioned matter in controversy between the above-mentioned Claimants and Respondent set

MUNICIPAL SECURITIES RULEMAKING BOARD In the BEAR, Matter V. STEARNS Of & the Arbitration COMPANY, INC., Between : Claimants, : Respondent. : AWARD MS 88-95 The UNDERSIGNED, pursuant to MSRB Rule G-35, Section 31, hereby state as follows: We have been selected to act as arbitrators and to review and determine the captioned matter in controversy between the above Claimants and Respondent set forth in a

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between V. SWINK & COMPANY, INC., Respondent and Third- Clainants, : -Party Claimant, V . J.J. KENNY DRAKE, INC. (f/k/a J.J. KENNY TRADING, INC.), Third-Party Respondent and Fourth-Party Claimant, : V. : THE BANK OF NEW YORK, Fourth-Party Fifth- V. MILLER Respondent and -Party Claimant, & SCHROEDER FINANCIAL, INC., Fifth-Party R

MUNICIPAL SECURITIES RULEMAKING BOARD MAY 22 tm In the Matter of the Arbitration Between Claimants, V. PRUDENTIAL-BACHE SECURITIES, INC.; CAPITOL MUNICIPAL SECURITIES, INC. a/k/a CAPITOL SECURITIES, INC. and FRED MARSHALL, Respondents. AWARD MS88-85 The UNDERSIGNED, pursuant to MSRB Rule G-35, Section 31, hereby state as follows: We have been selected to act as arbitrators and to review and determine the captioned matter

MUNICIPAL SECURITIES RULEMAKING BOARD In the Natter of the Arbitration between Claiaant, V. SHEARSON LBHMAN BUTTON, INC. (f/k/a SHEARSON LBHMAN BROTHERS, INC.); W. JACKSON HINBS, JR. (a/k/a JACKIE HINBS) and ROBERT L. SORCE. Respondents. AWARD NS88-59 SC8-031 The UNDERSIGNED, pursuant to MSRB Rule G-35, Section 34(f), hereby states as follows: I have been selected to act as arbitrator and to review and deteraine the captioned

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claiaants, v. L.F. ROTHSCHILD fc CO., INC., Respondent and Third-Party Claiaant, KBVIN D. BODEN, Third-Party Respondent, AWARD MS88-90 SC8-038; MS88-91; MS88-92 k MS88-93 The UNDERSIGNED, pursuant to MSRB Rule G-35, Section 31, hereby state as follows: We have been selected to act as arbitrators and to review and deteraine the captioned consoli

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claiaant, V. MOORE & SCHLEY a/k/a NOORB fc SCHLEY MUNICIPALS, INC. and MALCOLM READER, Respondents. AWARD MS 88-54 The UNDERSIGNED, pursuant to MSRB Rule G-35, Section 31, hereby state as follows: We have been selected to act as arbitrators and to review and deteraine the captioned aatter in controversy between the above Claiaant and Respondents set fo