NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Frank A. and Zella W. Smith Claimant(s) vs. 88-03170 John Crofton and Quick & Reilly, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Frank A. and Zella W. Smith alleged that Respondent(s) John Crofton and Quick & Reilly, Inc. failed to execute a trade. Respondent(s) maintain that all losses Claimant incurred were a res

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert L. Martin, Claimant v. Bear Stearns & Company, Inc., Respondent Case Number: 99-02479 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Michael A. Lotman, Esq. Law Offices of Michael A. Lotman Los Angeles, California For Respondent: Dale F. Kinsella, Esq. and Michael J. Kump, Esq. Kensella, Boesch, Fujikawa & Towle, LLP Lo

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Curtis R. Autrey Claimant{s) vs. 88-03155 Capital First Securities, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Curtis R. Autrey alleged that Respondent(s) Capital First Securities, Inc. sold securities not registered in Texas. Respondent(s) denies Claimant's allegations. RELIEF REQUESTED Claimant(s) Curtis R. A

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Ors. Kutumbarao & Lakshmi Vemulapalli, ) ) Claimants ) Case 488-03151 ) vs. ) Award Fidelity Brokerage Services, Inc., Respondent CASE SUMMARY Claimants allege that Respondent breached its fiduciary duty to them when it failed to timely notify them of the status of an order to sell Nov 320 puts at 135 which was placed on October 19, 1987, an

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stephen Luchka Mary Luchka Claimants vs. Advest, Inc. Seymour Klein Respondents CASE #88-03150 ORDER Case Summary Claimants assert Respondents made unsuitable margin investments which resulted in losses in October 1987. Respondents deny the allegations and assert that Claimants retained and exercised sole authority to authorize purchase

J. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Claimants vs. Respondents ) Award ) NASD I ) SUMMARY OF ISSUES This case was filed on . CloiiwojJ- cULUn -— 0)0* -JnJVLfdaJ IAAJ!^ CJOHulati t/Wtrr/yi < xAr>0 oath. / DAMAGES AND RELIEF REQUESTED a A&fusJ. tJ -Mis iAAi/ntir. > fl Ai'mruc nt -/€ 77 -A te DAMAGES AND RELIEF AWARDED On LLLgui

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony Coratti Claimant vs. AWARD #88-03147 Nathan & Lewis Securities, Inc. Nathan, Lewis & Grant, Inc. Nathan & Lewis Associates, Inc. Ronald M. Allen Respondents Case Summary Claimant Anthony Coratti (hereinafter "Claimant") alleged that he told Respondent Ronald M. Allen (hereinafter "ATlen") that his (Claimant's) investment objectives wer

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Meyer Weisman and Claimants Jeanne Wiesman vs. } CASE NO. 88-03141 ) C.L. McKinney & Company, Inc., and Respondents ) Jack Halperin } SUWARY OF ISSUES Claimants filed this claim with the NASD on October 12, 1988 and alleged that losses were incurred as a result of Respondent's negligence, breach of fiduciary duty, breach of contract, and abandonment.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) \ Michael and Lanetta Blodgett, ) Antoinette G. Attell and ) Carol Irving ) Claimants ) ) AWARD vs. } ) NASD #88-03135 Prudential-Bache Securities, Inc., ) Charles Bergman and ) Jerry Gettinger ) Respondents } SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers on October 7, 1988. Claimants

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Claimant In the Matter of the Arbitration Between Esther 8. Warner vs. Shearson Lehman Hutton, Inc. Respondent CASE #88-03133 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 7, 1988, Claimant Esther B. Warner alleged Respondent through the use of misstatements and omissions induced the Claimant to make investments that were compl