NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Marlys Taylor Claimant ) ) AWARD vs. ) CASE NO. 88-01146 Mitchell Curtis and Financial Respondents ) Planners Equity Corp. ) SUMMARY OF ISSUES This case was filed on November 24, 1986. Claimant alleged that Respondent Mitchell Curtis ("Curtis") breached his fiduciary duty to her when he invested her funds in six unsuitable, high-risk limited partnerships.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Thomas Soong Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Michael Lockhart Respondents Case 188-01126 AWARD CASE SUMMARY Claimant Thomas Soong alleged that he wanted to open an IRA account with the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc., namely the Merrill Lynch Federal Securities Trust Fund. Claimant alleged that

NATIONAL ASSOCIATION OF SECURITIES DEALERS, 'JNC. In the Matter of the Arbitration Between) Richard A. Kliefoth ) Claimant and AWARD Case No. 88-01096 Thomson McKinnon Securities, Inc. and Clifford Fields Respondents CASE SUMMARY In a claim filed with the NASD on April 6, 1988, Claimant Richard A. Kliefoth, individually and as executor of the estate of Marion Kliefoth, ("Kliefoth") alleged that Respondents Thomson McKinnon, Inc. ("Thomso

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Levco Securities Corporation vs. Carlton Copp, Jr. Marilyn LaChicotte Claimant Respondents AWARD #88-01163 In the Matter of the Arbitration Between Levco Securities Corporation Claimant vs. Dillon Securities, Inc. Financial Clearing & Services Corp. VS. Carlton Copp, Jr. Marilyn LaChicotte Robert Burnside Respondents AW

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sidney Schnipper Elaine Schnipper, Municipal Pension Protectors, Inc. and Municipal Plan Protectors, Inc. Claimants vs. Muller & Co., Inc. Philips Appel & Waiden, Inc. Broadcort Capital Corp. CASE #88-01123 AWARD Respondents ======================£=====================S=== CASE SUMMARY This claim was filed with N.A.S.D, Inc. on April

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the_ JUDITH BLINDER Matter of the Arbitration Between ) K. FIVIAN and ROBINSON & CO Claimant ., INC. and STEVEN R. NICKLES Respondents / ) ) ) ) ) ) CASE NO. 88-02031 CASE SUMMARY Judith K. Fivian ("Claimant") alleges that Blinder Robinson & Co. ("Respondent Blinder") and Steven R. Nickles ("Respondent Nickles") failed to inform Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) John Co 1 eman and Jan B. Hayes, Jr. Claimants and AWARD ) 88-02002 Prudential Bache Securities, Inc. ) Respondents CASE SUMMARY In a claim filed with the NASD on June 2, 1988, Claimants John Coieroan Hayes, Jr. and Jan B. Hayes ("the Hayes"') alleged that Respondent Prudential Bache Securities, Inc. ("Prudential Bache"}, through its re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rick R. Maliria Name of Respondent 95-02230 Merrill Lynch Pierce Fenner & Smith, Inc. Name of Third Party Respondent Dean Witter Reynolds Inc. For Claimant Rick Malizia ("Claimant") and Third Party Respondent Dean Witter Reynolds Inc. ("Dean Witter") appeared Kenneth A. Bravo, Esq. from the law firm of Ulmer & Berne located in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Leon Schwartz Mendel & Etty Strul Helen K. Urban Helena Mitchell Lynde H. & Anthony T. Gaglia William C. Raney David Russell Gloriana V. Urban Claimants Prurient i.al Bache Secijr.H.j .-.•?, Inc H« 'v.'^i cH Go Mberg Martin Salzman Respondents Urban Third-Party K^p AWARD CONSOLIDATED CASES #88-02212; #88-02213 #88-02214; #88-02215 #88-02216; #88-02217 #8

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alan Shen, Claimant v. E*Trade Securities, Inc., Respondent Case Number: 99-03341 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jeffrey Dennis Ferentz, Esq. Greenbaum & Ferentz LLP Newport Beach, California For Respondent: Stephen G. Frye, Esq. Mark T. Drooks, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, California CASE I