N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ~~ of Claimant(s1 Neona and Steven N. Sweningson - .** x and 89-02272 American Asset Management, Inc. Michael Awes CASE In a claim filed on or about August 10th, 1989, Claimants Neona and Steven Sweningson allege that Respondents Michael-'awes and American Asset Management (Collectively "Respondents") purchased^ securities for C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) HARRIETT H. STORY. ) Claimant, } ) Case #89-02270 vs. ) Award ) ADVEST. INC., ) Respondent. ) ) Heard before the member of the Arbitration Panel: Robert Herschmann. Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on August 14, 1989. The hearing was conducted in Fort Lauderdale, Florida on June 26, 1990 with a total of on*

N.A.S.D. AWARD -- NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Herbert S. Olsen 89-02269 Iame of Dean Witter & Co. John Cleveland Jr. Heard before: Name Public/Industry Harry E. Jennings, Jr. _ Public _ Joseph C. Roberts _ Public _ Don Boehm Industry... This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on August 14, 198

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph and Diann Franchina Claimant(s) vs. 89-02260 Blinder, Robinson 6 Co., Inc. and John SholtiB, Jr. Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(B) Joseph and Diann Franchina alleged that Respondent(a) Blinder, Robinson & Co., Inc. and John SholtiB, Jr. made misrepresentations to induce the sale of securities owned by

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Hamid R. Kordadeh Case No. 99-02796 Names of Respondent PaineWebber, Inc. Steven B. Restifo REPRESENTATION OF PARTIES For Hamid R. Kordadeh ("Kordadeh"), hereinafter referred to as "Claimant": Timothy J. O'Connor, Esq. of the law firm of Ainsworth, Sullivan, Tracy, Knauf, Warner & Ruslander, P.C., Albany, New York. For PaineWebber, Inc. .("PaineWebb

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eileen H. and John F. Lawrence vs. Claimant(a) 89-02259 Piper Jaffray & Hopwood and Timothy P. Woods Respondent(s) HOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Eileen H. and John F. Lawrence alleged that Respondents) Piper Jaffray & Hopwood and Timothy P. Woods churned Claimant's account and failed to satisfy Claimant's investment

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) NOBLE INVESTMENT CO. and ) HERZOG HEINE GEDULD, INC.. ) Claimants, ) ) Case #89-02258 vs. ) Award ) EDWARD SHEA. JR. and ) JOAN SHEA. ) Respondents. ) ) Heard before the Arbitrator: Arthur J. Leibell, Esq. * CASE SUMMARY This claim was filed with the NASD, Inc. on August 11, 1989. The healing* was conducted in Fort Lauderdale

N.A.S.O. ANKRD NXTXCHftL ASSOCIATION CF SBCQRITTBS OGftUSS la the fetter of the Arbitration James D. Floyd 89-02255 Kama of Resocntlmt (a) interstate Securities Corporation Arthur M. Xlugh III For daiaant: Janes S. Belfc, Esq. For Raapondent** Geozge C. Gbviagtoa, Haq. of Kennedy Gbviagton Labdell & HidOMn. - Stateneat of CladB filed: Auguat n, 1589. dadaaat's SiibniMiaa AgxecoMat algaed on: August 7, 1989. Respondent, interstate Sec

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard A. Krause and Leslie C. Krause vs. Claimants Merrill Lynch Pierce Fenner & Smith, Inc. Respondent AWARD CASE #89-02252 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 11, 1989, Claimants Richard A. Krause and Leslie C. Krause alleged that Respondent through its employee entered th

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Citigroup Global Markets, Inc. and Citigroup Global Markets Holdings, Inc. vs. Case Number: 06-02634 Hearing Site: Houston, Texas Name of Respondent James D. Barmore NATURE OF THE DISPUTE Member and Non-Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. and Citigroup Global Markets Holdings, Inc. ("Claimants")