NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. — » — — ••^•.^••••.««»^*»» — — — —» — •» — — — — •**• — — — — ••—•»• — — — »••••»«• — ^•••••••« In the Matter of the Arbitration Between SYLVIA ROSENTHAL and SANDRA COHEN, JTWROS, Claimants, vs. } Case /88-02276 J. T. MORAN & CO.. STAN LEVIN and FINANCIAL CLEARING & SERVICES CORP., Respondents, Heard before the members of the Arbitration Panels John B. Kelley, Esq. George W. Rodorm

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In tne Arbitration Matter Between KEN PAUL Claimant ) v. ) Case No. 88-02437 RAF FINANCIAL CORP.INC., f/k/a RAFCO FINANCIAL CORP., f/k/a J. PITTOCK & CO., INC. AND MICHAEL D. HAYES Respondents On April 19 and 20 and June 7 and 9, 1989, in Denver, Colorado, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on July 27, 198

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Among Robert B. and Mary J. Fleming Claimants Case #88-02421 vs. Award Merrill Lynch Pierce Fenner & Smith, Inc. and Len Pumer Respondents CASE SUMMARY Claimants, Robert B. and Mary J. Fleming ("Flemings"), alleged Respondents, Merrill Lynch Pierce Fenner & Smith, Inc. ("MLPFS") and Len Pumer ("Pumer") made unsuitable investments in their account and en

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ANNE THOMAS ) Claimant ) and ) ) CASE NO. 188-02391 SHEARSON LEHMAN MUTTON. INC. AND ) NICK DIMINICO ) Respondents ) CASE SUMMARY In a Statement of Claim filed with the NASD on July 28, 1988, Claimant Anne Thomas ("Thomas") alleged that Respondents Shearson Lehman Hutton, Inc. (" Shearson 11 ) and Nick DiMinico ("DiMinico") mismanaged h

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Leonard Rosen vs. Claimant AWARD =88-02376 Richard Blackman & Co., Inc. Respondent Case Summary Claimant Leonard Rosen ("Rosen 4 ') claims against Respondent Richard Blackman & Co., Inc. ("Blackman") arise from the execution of two November 1987 Standard and Poors Index option trades. Rosen alleged that a registered representative of Blackman

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Donald Bluemel And 04-01826 Chicago, Illinois Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. Maureen M. Raihle Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Donald Bluemel ("Claimant") was represented by Sandor L. Grossman, Esq., Chicago, Illinois and Andrew Stoltmann, Esq.,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between; Name of Claimant Catherine A. Ferguson vs. Case Number: 06-00126 Hearing Site: Troy, Michigan Name of Respondent A.G. Edwards & Sons. Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Catherine A. Ferguson ("Claimant") was represented by Anthony V. Trogan, Esq., Anthony V. Trogan, P.L.L.C., West Bloomfield, Michigan. A.G. Edwards & Sons

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Surina Piyadasa, Claimant v. Coast Partners Securities, Inc. (now known as Coast Partners Financial Corporation) and Richard A. Sleight, Respondents Case Number: 00-01810 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Paul Smoot, Esq. Anderlini, Finkelstein, Emerick & Sm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard A. Gregory, Luis Bethart, and Fred P. Mazzeo (Claimants) v. Bayard Spector, American First Capital Corp., and Dain Rauscher, Inc. (Respondents) Case Number: 00-01363 Hearing Site: New York, New York Nature of the Dispute: Associated Persons v. Member, Terminated Member, and Associated Person REPRESENTATION OF PARTIES Claimants Richard A. Gregory ("Gregory"), Luis Bethart

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03323 Zaslow Family Trust, claimant vs.E*Trade Securities, Inc., respondent. ATTORNEYS: For Claimant Zaslow Family Trust ("Claimant"), Arthur S. U Specialists, San Diego, CA. For Respondent E*Trade Securities, Inc. ("Respondent") Analyst, E*Trade Securities, Inc. Menlo Park, CA. Bob Salvador, Senior Compliance ider, Esq., Investors Arbitration DATE