MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between Claimant, SMITH BARNEY, HARRIS UPHAM & CO., INC., Respondent. AWARD MS 89-107 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimant alleges federal and state securities fraud, breach of fiduciary duty, negligence, breach of contract, fraud, and negligent supervision by Respondent, in connection with the s

MUNICIPAL SECURITIES RULEMAKING BOARD mj8 20 1990 In the Matter V. of the Arbitrat MICHAEL STEIN; DAVID LINDNER KIRLIN SECURITIES, INC., ion between Claimants, : and Respondents. AWARD MS 89-106 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimants allege that Respondent Michael Stein, while he was employed at A.F. Green & Co. and later with Respondent Kiriin Se

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between v. HALPERT AND COMPANY, INC., Claimant, Respondent. Mlb (^\)G 3 1990 AWARD MS 89-105 SC9-039 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant alleges that Reap December, 1988, to sell $25,000 Pu purchase $25,000 New York State En that Respondent told him that it w to complete the

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration between v. STEPHEN E. SHOGREN, Claimant, Respondent, mib AUG 21 1990 f«i AWARD MS 89-104 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant alleges numerous material misrepresentations by Respondent Stephen E. Shogren, formerly President of now defunct United Securities, Inc., Wichita, Kansas, con

i:: 6 iwo MUNICIPAL SECURITIES RULEMAKING BOARD n* •! i'-v L:* O a   - - • _ •» In the Matter of the Arbitration between ARTHUR PFIRMAN and CONSTANCE PFIRMAN, Claimants, V. J.C. BRADFORD & CO. and PAUL JAGACINSKI, Respondents. AWARD MS 89-103 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimants allege that Respondents J.C. Bradfo

MUNICIPAL SECURITIES RULEMAKING BOARD 6" 1 •-.. Ain r In the Matter of the BRYAN A. DAWBER TRUST FBO BRYAN A. DAWBER, V. SMITH BARNEY, HARRIS Arbit UAD UPHAN ration b 2/12/76 CI & CO., Reap etween aimant, INC., ondent. Wi. AWARD MS 89-102 SC9-041 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby states as follows: CASE SUMMARY Claimant alleges that Re

MUNICIPAL SECURITIES RULEMAKING BOARD In the Natter of the RAY THOLEN, ROBBRT ROBERT JOHN D V. M. BUCHANAN, C. FAIRLY, JR . CRAWFORD, Arhitrat JR.; . and ion Re between Claimant, spondents. OCT 81 )99o AWARD MS 89-100 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimant alleges, among other things, fraud and suitability claims aga

MUNICIPAL SECURITIES RULEMAKING BOARD In the Matter of the Arbitration Between MERTON EPHRAIM, V. Clainant, SHEARSON LEHMAN HUTTON, INC. and WILLIAM BERG, Respondents. AWARD MS89-98 SC9-038 The undersigned, pursuant to section 31 of MSRB rule 6-35, hereby states as follows: CASE SUMMARY Claimant alleged that there was a vast disparity between the actual value of certain municipal securities purchased by Claimant from Responde

MUNICIPAL SECURITIES RULE'i^AKlNG BOARD p--'-b i}\i]i 23 1990 r*: r« "•-. -^ In the Matter of the Arbitration between ROBERT BYRO and BEATRICE BYRD, Claimants, V. GATEWAY SECURITIES, INC. and DAVID WESTON, Respondents. AWARD MS 89-97 The Undersigned, pursuant to section 31 of MSRB rule G-35, hereby state as follows: CASE SUMMARY Claimants allege, among other things, that Respondent David Weston (**Weston"), re

MUNICIPAL SECURITIES RULEMAKING BOARD < m(b FEB 21 1990 In the Matter THORN, v. ALVIS, Of the WELCH, Arbitration INC., Between : Claimant, : Respondent. : AWARD MS89-92 SC9-036 The UNDERSIGNED, pursuant to section 31 of MSRB rule G-35, hereby states as follows. CASE SUMMARY Claimant alleged that, despite her request. Respondent failed to fully disclose all the call features regarding certain mun