NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) GRACE P. HOPPER ) Claimant(s) ) Case No. 89-02862 and I EDWARD D. JONES AND COMPANY ) Respondent(s) CASE SUMMARY In a claim filed with the NASD on or about October 16, 1989, Claimant Grace P. Hopper, ("Hopper") alleged that her investment in High Equities Partner £5, . limited partnership, through Respondent Edward D. Jones and Company, Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Merrill Lynch, Pierce, Fenner, & Smith, Inc. x x Claimant x x CASE NO. vs. x 89-02857 x Alan Sheketoff, Ronald Buckman, x AWARD and Laurel Buckman x x Respondents x x CASE SUMMARY •* Claimant, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Claimant") alleged that Respondents Ronald and Laurel Buckman ("Buckmans"), with th

Arbitration N.A.S.D. AWARD N- ^. ... . . , National Association of _ Securities Dealers, inc. Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS Three First National Plaza Chicago, ii_ 60602 (312) 899-4440 In the Matter of the Arbitration Between Charles C. Keeble 89-02856 Fidelity Investments CASE SO9JMK In a claim filed with the National Association of Securities Dealers , Inc. {"NASD") on or about October 16, 1989,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(si Lester L. Conawav 89-02851 Name of Respondentfs^ Smith Barney Harris Upham & Co., Inc. Larry O'Neal Gray CASE SUMMARY Claimant alleged that, after opening an account with the Respondents for long-term appreciation, the Respondents traded extensively in his account and initiated trades without his authorization. Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS _ y In the Matter of the Arbitration Between David R. and LeeAnn N. Meinhold vs. Philip S. Brown and The Stuart Janes Co. Claimant(s) Respondent(s) NOTICE OP ARBITRATION AWARD 89-02843 CASE SUMMARY Claimant(s) David R. and LeeAnn N. Meinhold alleged that Respondent(s) Philip S. Brown and The Stuart James Co. committed unauthorized trades with respect to Claimants' account. Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE 189-02832 AWARD In the Matter of the Arbitration Between Phillip E. Ratciiffe Claimant vs. The Stuart-James Co., Inc. David Weintraub Christopher Joseph Noble Rick Freuh Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 13, 1989, Claimant Phillip E. Ratciiffe alleged the Respondents, The Stuart-James Co., Inc., D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of Claimant(a\ ) Sheri D. Stein ) ) Case No. 89-02828 Name of Respondents) ) Robert Davidson ) Heard before the members of the Arbitration Panel: Louise T. Jeroslow, Esq. Harry Polansky Samson Silberman This claim was filed with the National Association of Securiies Dealers, Inc., on October 13, 1989. The hearing was conducted in

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Anthony Grillo, (Claimant) vs. Salomon Smith Barney and Ed Reyman, (Respondents) Case Number: 99^02852 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Anthony Grillo, hereinafter referred to as "Claimant": Alan Berkun, Esq., a sole practitioner, East Rockaway, NY. Respondents, Salomon Smith Barney ("Salomon") and Ed Reyman ("Reyman"), hereinafter colle

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. JOSEPH HOBBIKA V. CLAIMANT AWARD 189-02821 OPPENHEIMER & CO., INC. AND ARA MOMJIAN CASE SUMMARY The Statement of Claim was filed on October 12, 1989. Claimant, Joseph Hobeika, alleged that he was a totally unsophisticated investor when he opened a discretionary options account with Respondents, Oppenheimer & Co., Inc. and Ara Momjian. Claimant alleged that Respondents engaged in a patt

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Alice Farley Claimant(s) vs. 89-02820 Stephen R. Davis Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Alice Farley alleged that Respondent(s) Stephen R. Davis failed to sell one of the stocks in her account. Respondent did not respond. RELIEF REQUESTED Claimant(s) Alice Farley requested damages of Eight Hundred Twenty