NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of Arbitration Between Dorit Yabrov Case #88-03226 Claimant AWARD vs. North American Investment Corporation Respondent vs. James L. Greenbaum Third-party Respondent CASE SUMMARY Claimant, Dorit Yabrov, alleges that Respondent without authorization executed the following trades: 2,500 shares of Worldwide Computer Services, Inc.; 1,000 shares of Coratomic, Inc.; 30,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Louise Margaret Padgett Claimant(s) vs. 88-03222 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Louise Margaret Padgett alleged that Respondent(s) Prudential-Bache Securities, Inc. committed unauthorized trading in Claimant's account held with Respondent. Respondent denies all allegations.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ABDUL M. KHAN ) Claimant ) and ) Case No. 88-03220 FIDELITY BROKERAGE SERVICES, INC. ) Respondent ) CASE STMHA1T The Claimant, Abdul H. Khan ("Claimant") alleged that Fidelity Brokerage Services, Inc. ("Respondent") improperly and negligently liquidated the claimants' margin account in violation of the Respondent's own rules and margin notices to the C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Israel Shurkin Claimant vs. First Albany Corp. and Anthony Forgione Respondents AWARD CASE 188-03508 CASE SUMMARY Claimant Israel Shurkin alleged the Respondents unlawfully closed his account without his authorization. Claimant further alleged Respondents charged him a commission in excess of what he agreed would be charged with- Respondent Anthon

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jodi M. & Dennis P. Colbern Claimant(s) vs. Power Securities, Inc., Ron Bajorek and Dave Eckert Respondent(s) AWARD 88-03503 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 the parties on October 28, 1988 and J

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Robert and Shirley Smith. Claimants, ) ) Case #88-03502 va • ) Award ) IDS Financial Services. Inc. and ) James A. Carney, ) Respondents . } ) Heard before the members of the Arbitration Panel: Paul Sidney Elliott. Esq. Mr. Sam Giunta Mr. Willard E. Fawcett CASE SUMMARY This claim was filed with the NASD. Inc. on November 8. 1988. Th

UNIFORM SUBMISSION AGREEMENT NASD Arbitration - New York City Name of Sponsoring Organization With Which Claim is to be Filed NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tne Arbitration Between James R. Wall Claimant and Stuart A. Garner Johnston & Frye Securities, Inc. Susan Garner Gerry Garner Respondent(s) 88-03500 1. The undersigned parties hereby submit the present matter in controversy, 4s ,set forth in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among * Bobby C. and Betty Goodman * Claimant * Case #88-03499 vs. Award Melhado, Flynn & Associates, Inc. and * George M. Motz * Respondent * :ASE SUMK&RY Claimants Bobby C. and Betty B. Goodman (hereinafter "Claimant's) alleged that Respondents Melhado, Flynn & Associates, Inc. and George M. Motz (hereinafter "Respondents") mishandled Claimants accoun

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of Tdd- Qsict- p/ar ^orolaA L vs. j&roL u . NJ(y>ie •ni /^cAort/jflyt. The Arbitration Betweeid 'evife- Claimants i i f C*. Respondents •• ) ) | ) Award NASD i SUMMARY OF ISSUES This case was filed on ffewMi^fjL. & /98$ , QlJLsMidL ^r\a^ - > LTL m'l QjL mJL- i A Jvi \ " ( ,iC U \e

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Harcharan Singh Case No, 99-02485 Names of Respondents Syed Ahsan Naqvi Martin Marvin Berk Mohammad Ali Khan William Oakleigh Triebel John Joseph Svatek Asim S. Kohli Steven R. Jacobson William Walling Klein, Maus & Shire, Inc. REPRESENTATION OF PARTIES For Claimant: David Liebrader, Esq. of The Law Offices of David Liebrader