NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Aroitration Between ) Kevin & Sally Lowery Claimants ) vs. ) AWARD Fidelity Brokerage Services, Inc. Respondent ) CASE NO. 89-01918 Heard Before the Arbitration Panel: Owen Guinn Smith SUWARY OF ISSUES -* This case was filed on July 6, 1989. Claimants alleged that Respondent engaged in unauthorized trading in Claimant's account by covering a short position of five Septembe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David L. and Mary L. Thomas Claimants vs. Trace E. Paradise, Jimmy Carter, Texas Independent Securities, Inc. William T. Charlton and Palestra Training Corporation Respondents NOTICE OF ARBITRAT AKARD #89-01916 CASE SUMMARY Claimants David L. and Mary L. Thomas alleged that Respondents Trace E. Paradise, Jimmy Carter, Texas Independent S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ming-Dake Wang and Lina Wang as trustees for the Wang Family Trust, Claimant v. Charles Schwab & Co., Inc., Respondent Case Number: 99-02715 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Harry Delizonna Law Office of Harry Delizonna San Jose, California For Respondent: Steve Murphy Charles Schwab & Co., Inc. San Francisco, Californ

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Bluestone Capital Partners, L.P. Case No. 00-01037 Hearing Site: Boca Raton, Florida Name of Respondent Neil M. Kleinman REPRESENTATION OF PARTIES For Bluestone Capital Partners, L.P. ("Bluestone") hereinafter referred to as "Claimant"; Robert L. Herskovits, Law Offices of Michael F. Bachner, New York, New York and Bert L. Gusrae, Gusrae, Kaplan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gordon Root, Claimant v, Gaines Berland, Inc. and Anthony George Keshish, Respondents Case Number: 00-00114 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES For Claimant: Robert S. Banks, Jr., Esq. Banks & Underbill, P.C. Portland, Oregon For Respondents: Scott L. Silver, Esq. Gusrae, Kaplan & Bruno New York, New York CASE INFORMATION Statement of C

ytiJraday. February 22,2001 1:29 PM To: JuHa Hoffman From: C. W. Austin, Jr., B04-37ft-3l2l Page: 5 of B NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In.the Matter of the Arbitration Aiming : NASD Case No. : 00-00016 ILENE JEANETTE WILLIAMS, Claimant. -•igainst- GARY M. STEWART CHRISTOPHER R. STEWART ROBERT IX MICHAUX, Respondents. STIPULATED AWARD Claimant, llenc Jennelle'WilliamsCX'laimanOwas represented by Charles \V. Aust

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Yu-Wen Tung Claimant(s) vs. 89-01915 Robert Pocilio Respondent(s NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Yu-Wen Tung alleged that Respondents) Robert Pocilio engaged in misrepresentation in connection with stocks sold to Claimant. Respondent did not answer. RELIEF REQUESTED Claimant(s) Yu-Wen Tung requested damages of One Thou

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Dorothy C. Poster CASE #89-01914 Carl B. Zuckerman JTTEN . AWARD Claimants vs. Westport Securities, a Division of Westport Financial Group, Inc. and Jason Barshop Respondents CASE SUWARY Claimants, Dorothy C. Poster and Carl B. Zuckerman, allege that Respondents, Westport Securities, a Division of Westport Financial Group, Inc., and Jason Barshop, m

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Barry D. Rader Claimant(s) vs. 89-01912 Ameritrade, Inc., Rosemary Grady, and Amerimutual Corp, Respondent< s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Barry 0. Rader alleged that Respondent(s) Araeri. trade, Inc., Rosemary Grady, and Amerimutual Corp. failed to execute a trade. Respondent Ameritrade, Inc. maintains that the transac

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Robert I. Murphy Claimant(a) vs. NOTICE OF ARBITRATION AWARD 89-01911 Fidelity Brokerage Services, Inc. and National Financial Services Corp. Respondent(s) j CASE SUMMARY Claimant(s) Robert I. Murphy alleged that Respondent(s) Fidelity Brokerage Services, Inc. and National Financial Services Corp. mishandled the transfer of Claimant's funds. R