MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between MATTHEW JOHNSON, Claimant, V. SHEARSON LEHMAN BROTHERS INC. A/K/A SHEARSON LEHMAN HUTTON INC., Respondent. AWARD MS90-40 SCO-025 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED Claimant instituted the captioned controversy on or about July 6, 1990 alleging, among other things, that

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimant, V. BLUNT ELLIS k LOEWI, INC., AND ROBERT D. GAGNON, Respondents, AWARD MS90-39 SCO-024 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant alleges that on 9-11-86 Respondent Robert D. Gagnon called and stated that he had a very good bond to sell: Madison Wis IDR, Divall Hamilt

MUNICIPAL SECURITIES RULEMAKING BOARD r c —• ^ ^ • ^ In the Matter of the Arbitration between Claimants, V. DAVID LERNER ASSOCIATES, INC., A.F. MEERE AND G.T. JAFFEE Respondents. AWARD MS 90-38 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimants allege that in March, 1989 they established an account with Respondent David Lerner Associates, Inc. ("DLA") and on

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter DAN SHANNON JOHN GORMAN of V. the Arbitration between : Claimant, : Respondent. : E$.R 7 % AWARD MS90-37 SCO-023 The Undersigned, pursuant to section 31 of MSRB G-35, hereby states as follows: CASE SUMMARY Claimant alleges that on June 2, 1989 he purchased from Respondent, a representative of APS Financial Corporation, $25,000 face amount Maricopa Cou

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Aribtration between KARL DUTCZAK Claimant, V. MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. AND THOMAS DICKENS Respondents. AWARD MS90-35 SCO-021 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant alleges that on 9-2-88 he purchased from Respondent Thomas A. Dickens ("Respondent Dickens"), a representative of Res

MUNICIPAL SECURITIES RULEMAKING BOARD In th.er •^.etter of the Arbitration between Claimants, V . A.F. VBXST SECURITIES, INC. and BRUCE - TABATCHNICK, Respondents. AWARD MS90-34 SCO-020 The Umiift Stat signed, pursuant to section 31 of MSRB rule G-35, hereby follows: CASE SUMMARY Claimants allege that they agreed to purchase certain munict-=?>el bonds from Respondents at a dollar price of 110, but later xiiscovered th

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between V. JASON N. CINDER and OPPENHEIMER & CO., INC., Claimant, Respondents. mib APR 16 1991 iVsiaV«... _ • AWARD MS 90-32 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: -' CASE SUHMARY Claimant alleges that in October, 1988, he purchased from Drexel Burnham Lambert ("Drexel"), through its registered represent

,. -'.) rti MUNICIPAL SECURITIES RULEMAKING BOARD 1591 * • •. s r_ -• ^..-4 In the Matter of the Arbitration between V. MICHAEL STEIN, Claiaants, Respondent. AWARD MS90-29 SCO-019 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimants allege that, in February, 1988, after doing their taxes for 1987, they were unhappy with the amount of taxes

MUNICIPAL SECURITIES RULEMAKING BOARD Fc3 6 199: In the Matter of the Arbitration between HARRY G. HILL and ARDIS F. HILL, Claimants, v. MILLER & SCHROEDER MUNICIPALS, INC. and ROGER K. ERAL, Respondents. AWARD MS90-24 SCO-016 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY/RELIEF REQUESTED The Claimants claim that they were induced by the Respond- ents to exchange certain

* — - •• •   ^ m ^ JiN 30 1991 MUNICIPAL SECURITIES RULEMAKING BOARD In the 1 CHARLES HALPERT R HOWARD Matter of and V. ELLEN the Arbi tration between DUWE, and KEVIN M. DUWE, Claimants, AND COMPANY, espondent and V. PARKER, INC. Third-Party Claimant, Third--Party Respondent. AWARD MS90-23 SCO-015 The Undersigned, pursuant to section 31 of MSRB rule G-35, her