AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant RBC Dain Rauscher, Inc. vs. Case Number: 05-02286 Hearing Site: Des Moines, Iowa Names of Respondents Citigroup Global Markets, Inc., Gary L. Aronson, and John R. Stengel NATURE OF THE DISPUTE Member vs. Member and Associated Persons REPRESENTATION OF PARTIES RBC Dain Rauscher, Inc. ("Claimant") was represented by W. Ross Forbes, Jr., Esq. an

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) JOSEPH S. MCKINSEY ) Claimant ) NASO No. 88-03028 v. ) SMITH BARNEY HARRIS UPHAH & CO., INC. ) Respondent ) CASE SUMMARY In a claim filed with the NASO on September 28, 1988, Claimant Joseph S. McKinsey (Claimant) alleged that contrary to Claimant's instructions, his IRA funds were invested in an unsuitable investment in his individual retiremen

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert L. and Marion E. Lerch Claimant(s) vs. 88-03021 Blinder, Robinson & Co., Inc. vs. D. Pastula, C. Flack, G.J. Pheribo Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert L. and Marion E. Lerch alleged that Respondent(s) Blinder, Robinson & Co., Inc., D. Pastula, C. Flack, G.J. Pheribo negligently mishandled Claimant

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Roger Boesky, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent Case Number: 99-02450 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: John H. L'Estrange, Jr., Esq. Wright & L'Estrange San Diego, California For Respondent: Kenneth C. Mennemeier, Esq. Mennemeier, Glassman & Stroud, LLP Sacramento, California CASE INFO

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between• Susan A. Woolley Claimant(s) vs, 88-03011 John J. Colcolough Respondent(s) MODIFICATION OF NOTICE OF ARBITRATION AWARD This Notice of Arbitration Award Supersedes the Notice of Arbitration Award dated 7/3/89. CASE SUMMARY Claimant Susan A. Woolley alleged that Respondent John J. Colcolough neglected to inform Claimant that a transfer fee woul

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of^Claimantfsl Rudolph J. & Patricia A. Malusa 88-03008 Mama of Rsapoivientfsi PaineWebber, Inc. Susan Fisher & John Doe Fisher Rudolph L. Ferlan & Jane Doe Ferlan In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about September 26, 1988, Rudolph J. and Patricia A. Malusa ("Claimants") alleged t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between } Harris and'Colleen Beckman Claimant(s) ) ) AWARD vs. ) CASE NO. 88-03005 Greentree Securities, Inc., and ) James Goldberg Respondent(s) ) SUrittRY OF ISSUES This case was filed on September 26, 1988. Claimants allege that Greentree Securities and its employee, James Goldberg, solicited purchases of OTC securities from them without disclosing the risks

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of The Arbitration Between.} Nancy Friedt ) Claimant(s) ) vs. ) CASE #88-03003 Shearson Lehman Hutton, Inc. ) AWARD Respondent(s) ) SUMMARY OF ISSUES This case was filed on September 22, 1988. On August 31, 1987, Claimant, (Friedt) purchased 2000 shares of Epitope Inc. in her account which was maintained by Respondent (Shearson). On September 1, 1987, she purchased an additional

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) RacheUe Levine, } Claimant ) Case #88-03801 vs. ) Award Blinder, Robinson, Inc., ) Respondent } CASE SUMMARY Claimant alleges that in October 1983 she instructed her broker to transfer 600 shares of Isuzu Motors from her account with Respondent to her account with Pacific Brokerage. Claimant further alleges that in February 1988. she realized th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Philip L. Wright, Individually Claimant and as Surviving Joint Tenant of Margaret H. Wright vs. Shearson Lehman Brothers and Alan Saretsky ) Respondents ) / AWARD CASE NO. 88-03798 SUMMARY OF ISSUES This case was filed on December 12, 1988. Claimant alleged that Respondents breached their duty of due diligence to learn the essential