NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. *.«••**•»•• — — ^*-M — ^^^™»«.^^^^»^*..«»— * ^ • — •»_.. v _ w — A •» — _•-•.«.« IBM .» — * ««««*«M.* V « •» V In the Matter of the Arbitration Between } HOWARD MOTT, ) Claimant, ) ) Case /88-03078 vs. } Award BLINDER ROBINSON & CO., INC. Respondent, ) vs. ) JOHH SWIGER Third Party ) Respondent. ) Heard before the members of the Arbitration Panelt Walter W. Hane

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Alex Tare Claimant Case I 88-03072 vs. AWARD Tradex Brokerage Service, Inc. and Fred Howard Respondents Case Summary Claimant alleged that the Respondents improperly liquidated his account and that the Respondents did not give adequate notice of the intent to liquidate. In addition, Claimant alleged that Respondents' actions were inconsisten

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stanley Wynn Claimant vs. Wise, Friedman, Inc. Michael Wise Respondents CASE #88-03069 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 3, 1988 Claimant, Stanley Wynn, alleged that Respondents, Hise, Friedman, Inc. and Michael Wise, engaged the Claimant in substantial short sales which were

NATIONAL ASSOCIATION OF SECURITIES;DEALERS, INC p • - In the Matter of the Arbitration Between ') ' • iM -- 1 ' : -'-^ ! Arlene Keinert, individually and as ) guardian litem for Jeri Anne Keinert ) Claimants ) ) and ) CASE NO. 88-03065 ) Robert W. Baird £ Co. and ) Robert T. Wellman ) ) Respondents ) CASE SUMMARY In a claim filed with the NASD on or about September 30, 1989, Claimant Arlene Kei

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: John D. Alstadt (Claimant) vs. Everen Securities, Inc. k/n/a First Union Securities, Inc., Billy Kimbrell, Beth Stobbs, Christopher Huff, Denis P. Shinhearl, David Gilbert and Jeff White. (Respondents). Case Number: 99-02465 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, John D. Alstadt ("Claimant"): John Dees, Esq., Law Offices of John Dees, Dallas, Texas. Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) OAVID G. FEERICK ) Claimant ) v* ) NASD NO. 88-03063 LAURIE BARTACZEHICZ and ) PIPER, JAFFRAY and HOPHOOD ) Respondents ) . ) CASE SUfWflf In a claim filed with the NASO on September 30, 1988, Claimant, David G. Feerick alleged that he placed an order to sell 20 Jan IBM 165 calls at $2.00 with Respondent, Laurie Bartaczewicz an employee of Responde

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wilbert Fong Claimant(s) vs. AWARD 89-00019 Olde Discount Corp. and Richard Malone Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) Wilbert Fong alleged that Respondent(s) Olde Discount Corp. and Richard Malone did not automatically exercise Claimant's options pursuant to Option Account Financial Questionnaire and Agreement. Respon

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Vernon and Patricia Korkus Claimant(s) vs. 89-00018 Fidelity Investments and Edward C. Johnson III Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Vernon and Patricia Korkus alleged that Respondent(s) Fidelity Investments and Edward C. Johnson III delayed in acting on a stop loss order. Respondent(s) maintain that the order was

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wall Street Clearing Co. Claimant(s) vs. 89-00016 Gary Broxmeyer and Robin Davidson JTWROS Respondents) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Wall Street Clearing Co. alleged that Respondent(s) Gary Broxmeyer and Robin Davidson JTWROS failed to pay Claimant the unsecured debit balance in Respondents' margin account. Respondent(s

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between r Eva Eisenstein, TTEE for t.hc Eiccr.ctcin Family Trust riaimant(s) vs. 89-00011 PaineWebber, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Eva Eisenstein, TTEE for the Eisenstein Family Trust alleged that Respondent(s) PaineWebber, Inc. mishandled her account. Respondent(s) denied all allegations. RELIEF REQUEST