MUNICIPAL SECURITIES RULEMAKING BOARD ^r.—» •N m 7 1991 In the V ADAMS, Matter • BLOCK of the Arbitration between Claimant, k COE SECURITIES, INC. : • Respondent. i uj^i AWARD MS90-16 SCO-010 The undersigned, pursuant to section 31 of MSRB rele G-35, hereby states as follows: CASE SUMMARY In connection with his purchase from Respondent on May 24, 1989, of 25,000 face amount of North

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between MILTON GRALLA AND SHIRLEY GRALLA, Claimants, V, MERRILL LYNCH, PIERCE, FENNER, k SMITH, INC., Respondent, OCT 2» 1990 AWARD MS90-14 SCO-009 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimants allege that Respondent acted improperly in removing in January 1990 from Claimants' ac

,ir-Mt, %^UNICIPAL SECURITIES RULEMAKING BOARD f In the Matter of the Arbitration Between ALBERT J. MOLTER and VIVIAN R. MOLTER, Claimants, V. A.G. EDWARDS & SONS, INC., Respondent. «« 81 IMO l.ia.9L AWARD : MS90-13 : SCO-008 The undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows; CASE SUMMARY Claimants alleged that Respondent sold $20,000 Pensacola, Florida Sanitation System Revenue B

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimant, V. SEIDEL k FASANO, INC.; PETER PALUMBO; FRANK J. FASANO AND ALAN D. SEIDEL, Respondents, AWARD MS90-12 SCO-007 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant contends that Respondents knew or should have known that certain Massachusetts State Health k Educational Fac

MUNICIPAL SECURITIES RULEMAKING BOARD In the NORRIS ROBERT Matter of the Arbitration between Claimant, V. : & HIRSHBERG, INC. and A. ROSENBERG a/ka/ BOB ROSENBERG, Respondents. OCT 25 1996 M.S.R.B. AWARD MS 90-11 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimant alleges that in 1986 and 1987 Respondent Robert A. Rosenberg a/k/a Bob Rosenberg ("Ros

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration Between V. Claimants, MCLAUGHLIN, PIVEL, VOGEL SECURITIES, INC. and DAVID C. JOHNS, Respondents. AWARD MS 90-9 SC0-005 The undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimants allege that Respondents, upon Claimants' request due to tax considerations, recommended that they sell $20,000 Intermountain Power

MUNICIPAL SECURITIES RULEMAKING BOARD In the Ma AUGUSTINE V MILLER & tter of th BELARDO. • SCHROEDER e Arbitrat FINANCIAL, ion between Claimant, INC., : Respondent. Mb M.S.R.3. AWARD MS 90-7 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant alleges that Respondent failed to provide him with all material information necessary for him t

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of VALERIE GARY L. E. EVARTS V. SLIEMERS the and and A.G. EDWARDS & SONS, Arbitrat GEORGE INC.. ion between : H. EVARTS, : Claimants, Respondents. pmib MAR 28 1990 ,q .. ... ..J AWARD MS 90-6 SCO-003 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimants alleged t

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter V. PAINEWEBBER, of INC the • f Arbitrat ion between Claimant 1 : Respondent. AWARD MS90-04 SCO-002 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimant alleges that he purchased from Respondent $10,000 New Jersey State Mortgage Finance Agency Statewide Mortgage Purchase Revenue Bonds, 1983 Series 2, 9.75X d

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Clainants, V. MANLEY, BENNETT, MCDONALD & CO., INC. a/k/a MBM GROUP, INC. & SUBSIDIARIES and CAROL SWIGER METZ, Respondents. AWARD MS 90-3 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimants allege violations of federal and state securities law and common law by Respondents in connection with the m