N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of~the Arbitration Between Name of Claiman^ fsfl Jacqueline S. Sincoff et. al. 88-03599 Name of Stifel Nicolaus & Co. Inc. Richard Naumer CASE SUMMARY In a statement of claim filed with the NASD on or about November 18, 1988, Claimant Jacqueline S. Sincoff, individually and as co-trustee with her sister Jean Srenco on behalf of the Jacqueline S. Sincoff Revocable Liv

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard J. Madden, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case #88-03882 Award CASE SUMMARY Claimant filed the above-captioned matter for arbitration on December 20, 1988. He alleged in the claim that Respondent failed to advise him of the inherent risks involved in highly speculative index option trading on margin,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Garrett S. Jacobs Claimant(s) vs. 88-03860 First United Securities of California and Peter Tosto Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Clairaant(s) Garrett S. Jacobs alleged that Respondent(s) First United Securities of California and Peter Tosto committed unauthorized transactions in Claimant's account held with Respondent. R

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Theodore A. Lata Claimant(a) VS. 88-03854 Shearson Lehman Button and James A. Alonge Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Theodore A. Lata alleged that Respondents Shear son Lehman Button and James A. Alonge misinformed him with respect to a Government Trust offering he had invested in* Respondents maintain that Clai

riAIInNAI .*'.'. MI "I MHII'ITII • OKAM I-' , IN(.. In I he Matter of the Arbitration Between Roberto Luzio Hugo Luzio l.uzio ial Bache Securities, Inc. Claimants Respondent CASE #88-03730 AWARD l.'V.F NUMMARY li-Mif HM«|H unsuitable investments into market options .UK! misrepresented i hf» investments ^ w^ll. Respondent r'.ni tends that based on the iti j l wwfh *nd iriveslment objectives, the investments wetf? suitable.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the iMatter of the Arbitration Between Christian W. Klein Claimant vs. Bear Stearns and Company, Inc. Respondent vs. Joseph Lugo Third Party Respondent AWARD Case #88-03695 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 30, 1988 Claimant Christian W. Klein alleged the Respondent Bear Stearns and Company, Inc. executed unau

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marvin Kolodzik Claimant(s) vs. Blinder, Robinson & Co., Inc. vs. Thomas Christoffersen Respondent(s) NOTICE OF ARBITRATION AWARD 88-03604 CASE SUMMARY Claimant (s) Marvin Kolodzik alleged that Respondent ( s ) Blinder, Robinson & Co., Inc. committed unauthorized trades within Claimant's account held with Respondents. Respondent ( s ) deny

Arbitration N.A.S.D. AWARD NATIONAL AssociATiCN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (sj = George, Robert, Thorns & Steven G. Leonard 88-03529 Name of National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 Merrill Lynch Pierce Fanner & Smitli Inc James A. Ward Russell G. Mann, Jr. For Claimant: Jo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Merrill Lynch, Pierce, Fenner & Smith, Inc. Claimant vs. Dr. Elsa M. Lopez Respondent Case #88-03364 AWARD CASE SUMMARY Claimant seeks a debit balance created in October 1987 in Respondent's account as the result of certain options traded on the S & P 100 Stock Index. Respondent contends Claimant failed to cover her options as instructed on Frid

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Margaret M. Johnston vs. Case Number: 06-02591 Hearing Site: Southfield, Michigan Names of Respondents H&R Block Financial Advisors, Inc. and David L. Fransko NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Margaret M. Johnston ("Claimant") was represented by Joseph H. Spiegel, Esq., Joseph H. Spiegel