NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas and Rene Livemois Claimant(a) vs. 89-01221 Richard Gross Respondent(s) NOTICE OF ARBITRATIOH AWARD CASE SUMMARY Claimant(s) Thomas and Rene Livemois alleged that Respondent(s) Richard Gross sold worthless stock with inflated prices using high pressure sales tactics and promises of high returns on investments. Respondent(s) denied all allega

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Ronald S. Joelson, Trustee for the Joelson Living Trust dtd 5/26/83 Claimant vs. Wells Fargo Securities/Wells Fargo Bank Respondents OATH AND AWARD OF . ARBITRATOR 89-01220 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert 0'Byrne Claimant(s) vs. 89-01217 Rosemary Grady Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert 0'Byrne alleged that Respondent(s) Rosemary Grady made misrepresentations. Respondent(s) claimed she does not know Claimant. RELIEF REQUESTED Claimant(s) Robert 0'Byrne requested damages of Two Thousand Five Hund

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joel and Cathy Miller Claimant(s) vs. 89-01216 Pacific Brokerage Services Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(a) Joel and Cathy Miller alleged that Respondent(s) Pacific Brokerage Services failed to execute a stop or sell order on a timely basis. Respondent(s) denies Claimant's allegations. RELIEF REQUESTED Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frances Lucha vs. Shearson Lehman Mutton, Inc. Jack Klein Claimant Respondents CASE *89-01215 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 25, 1989 Claimant Frances Lucha alleged the Respondents engaged in unauthorized, unsuitable trading and churned her account. Claimant further alleged

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dankwart and Christa Koehler Claimant(s) vs. Greentree Securities Corp. and I.A. Rabinowitz & Co. Respondent(s) NOTICE OF ARBITRATION AWARD 89-01213 CASE SUMMARY Claimant (s) Dankwart and Christa Koehler alleged that Respondents) Greentree Securities Corp. and I. A. Rabinowitz & Co. made unauthorized purchases. Respondent I.A. Rabinowitz & Co. mai

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Paul A. Breslin Claimant(s) vs. Merrill Lynch Pierce Fenner & Smith, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD 89-01211 CASE SUMMARY Claimant Paul A. Breslin alleged that Respondent Merrill Lynch Pierce Fenner & Smith, Inc. manipulated his account and made unauthorized trades. Respondent maintains that there was no manipulation of Claiman

FEB 13 KB NATIONAL ASSOCIATION OF SECURITIES DEALERS,INC. IN THE MATTER OF THE ARBITRATION BETWEEN Joaquim G. OeSousa Claimant vs. Wedbush Securities, Inc. Respondent Case #89-01205 AWARD CASE S1HKARY Claimant alleged that Respondent failed to pay him a dividend on common stock and adjusted the stock price to reflect the stock going ex-dividend in the middle of a trading day. Respondent maintained that the price of the stock

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John H. Graham Claimant(s) vs. 89-01202 Steven Cohen Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant John H. Graham alleged that Respondent Steven Cohen was negligent and mishandled his account. Respondent maintain that Claimant was advised of the decline in the price of his stock and the sale of his stock was a result of his own.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Steven Horn Roth Account, Steven Horn Personal Account and Steven Horn IRA Account (Claimant) vs. Morgan Stanley Dean Witter Reynolds, Inc. and Perry Rampley, (Respondents). Case Number: 99-02660 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Steven Horn Roth Account, Steven Horn Personal Account and Steven Horn IRA Account (hereinafter collectively referred to as