NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Jack E. Maxwell Claimant(s) •vs. Shearson Lehman Hutton, Inc. Respondent(s) AWARD 88-03275 The undersigned, having been selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by Claimant on October 20, 1988 and not by the Respondent as required by S

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Giovacco vs. Claimant Smith Barney Harris Upham & Co., Inc. Bruce Olephant Respondents AWARD #88-03271 Case Summary This proceeding was commenced by the Claimant Robert Giovacco ("Giovacco") to recover damages from the Respondents Smith Barney Harris Upham & Co., Inc. ("Smith Barney") and Bruce Olephant ("Olephant") from losses in Claimant'

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) JOHN P. KOCLANES AND ) MILDRED M. KOCLANES ) Claimants ) and ) ) CASE NO. 88-03269 SHEARSON LEHMAN HUTTON; ) WAYNE KOOGES AND OONALO McFAIL ) ) Respondents ) CASE SUMMARY In a claim filed with the NASD on October 20, 1988, and supplemented by a filing dated July 24, 1989, Claimants John P. Koclanes and Mildred M. Koclanes allege

I NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mrs. Yocheved Rivkah Adelman Claimant(s) vs. ISFA Corp d/b/a INVEST Respondent(a) NOTICE OF ARBITRATION AWARD 88-03263 CASE SUMMARY Claimant Mrs. Yocheved Rivkah Adelraan alleged that Respondent ISFA Corp. d/b/a INVEST negligently mishandled Claimant's account held with Respondent. Respondent denies Claimant's allegations. RELIEF REQUEST

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Paula Waldman, ) ) Claimant } Case #88-03258 ) vs. ) Award ) Advantage Capital Corporation, ) Respondent ) CASE SUMMARY The above-captioned claim was filed by the Claimant on October 20, 1988. In her claim, she alleged that the Respondent violated the Invasion of Privacy Act by exposing her personal accounts to public scrutiny, thereby b

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Estate of Marion J. Muller Claimant vs. Oean Witter Reynolds, Inc. Respondent AWARD #88-03257 Case Summary Claimant alleged that Respondent mishandled Claimant's account during the year 1987 by allowing margin transactions in the account and executing unauthorized trades. Respondent maintained that Claimant was a long-time, sophisticated investor and

cs NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, IN THE MATTER OF THE ARBITRATION between SUSAN E. NEIGHBORS Claimant(s) vs. POWER SECURITIES CORP., RON BAJOREK, and DAVE ECKERT Respondents) o, < ?, \ \ AWARD #88-03256 The undersignea oeing the Arbitrator selectea to review and determine a matter in controversy oetween the above-mentioned Claimant's) and Resooncanttsj. set forth in a submission to arbitration si

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant William K. Furlong Case No. 99-02492 Names of Respondents Wheat Fust Securities, Inc. Robert M. Muller Walter R. Anderson REPRESENTATION OF PARTIES For Claimant William K. Furlong: Anthony L Horn, Esq., New York, NY. For Respondents Patricia Furlong Elliott ("Patricia"), Wheat First Securities, Inc. ("Wheat Fust"), Robert M. Muller ("Muller"

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dr. Kam-Cheung TSOI, KA Claimant(s) vs. 88-03254 David L. Jacobs of Mutual Benefit Financial Service Company Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Dr. Kam-Cheung TSOI alleged that Respondent David L. Jacobs of Mutual Benefit Financial Service Company misrepresented the risks and other material facts involved with the inve

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James B. Lee, M.D. Claimant(s) vs. 88-03253 Shearson Lehman Brothers, Inc. and William Carroll Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant James B. Lee, M.D. alleged that Respondents Shearson Lehman Brothers, Inc. and William Carroll misrepresented the tax implications of Claimants investment with Respondent. Respondents ma