NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) David Nadel. ) Claimant, ) ) Case #88-03521 vs. ) Award James J. Duane & Co., Inc.. ) Respondent. ) CASE SUMMARY This claim was filed with the NASD, Inc. on November 10, 1988. The hearing was conducted in Tampa, Florida on September 22, 1989 with a total of 1 sesison. Claimant, David Nadel ("Nadel") alleged that Respondent, James J. Duane & Co

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant David E. Mattina Case No, 99-02520 Names of Respondents Gates Carter Levi, Inc. Joel M. Levi REPRESENTATION OF PARTIES For Claimant: Earl S. Eichin, Jr., Esq. of Lemle & Kelleher, New Orleans, LA. For Respondents: Dempsey M, Levy, Esq., Ocean Springs, MS, CASE INFORMATION Statement of Claim filed on or about: June 1, 1999, Claimant signed the Un

Arbitration N.A.S.D. AWARD w .. . . 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 Name of C!laimant(s) JAMES R. TSCHIDA 88-03518 f Resondent f si PIPER, JAFFRAY & HDPWOOD, INC. AND JOHN STASSEN CASE SUMMARY In a claim filed by Claimant Jones R. Tschida on or

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sophia Hauserman Claimant vs. Shearson Lehman Mutton, Inc. John Watson Respondents CASE #88-03517 AWARD CASE SUMMARY Claimant Sophia Hauserman (hereinafter "Claimant) alleged that Respondent John Watson (hereinafter "Watson") placed her account into unsuitable investments, that Watson churned Claimant's account, that Respondent Shearson Lehman

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) KENT R. & LAURIE C. VEINER, ) Claimants, ) vs. ) Case #88-03512 ) Awa rd BLINDER ROBINSON & CO., INC., ) ROGER GOLDBERG AND FRED HUNT, ) Respondents. ) Heard before the member of the Arbitration Panel: Arieh Leo Douer CASE SUMMARY This claim was filed with the NASD. Inc. on November 10, 1988. The hearing was conducted in Fort Lauderdal

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD 188-03510 In the Matter of the Arbitration Between Ronald & Mi Hi cent Asadoorian Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Thomas H. Magid Respondents Case Summary Claimants contend that an order placed on October 20, 1987 was not executed as requested. Claimants also argued that the executed order was unsuitable and should not have been processed. Respondents contend

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert D. waterman, Sr. Claimant vs. Shearson Lehman Mutton, Inc. Donald M. Donaldson Respondents AWARD #88-03509 Case Summary Claimant alleged that Respondents Shearson Lehman Mutton, Inc. and John M. Donaldson executed unauthorized transactions in his account and misrepresented to the Claimant that the transactions executed would be investigated

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02950 Citigroup Global Markets, Inc. Names of the Respondents Hearing Site: Orlando, FL Raymond, James & Associates, Inc. William Gregory Barker Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. ("Citigroup"), hereinafter referred to as "Claimant": Andre R. Per

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03566 New Castle Financial Group, Inc., (Claimant) vs. Kenneth Nieves, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Brett D. Zinner, Esq., Melville, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 1, 2006 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02257 Ryan Beck & Co., Inc., (Claimant) vs. Thomas Dalton, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Jeffrey C. Primiano, Esq., Livingston, NJ. For Respondent appeared A.J. Bohner, Esq., of the firm Bohner Law Office, Boise, ID. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 5, 2006 CASE SUMMARY: Claimant alleged that Respondent breached an em