NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Easter Kramer Group Securities, Inc. Claimant vs. Tyrone Hubbard Resoondent Case #88-03844 AWARD CASE SUWARY This proceeding was commenced initially on December 16, 1988 by Claimant Easter Kramer Group Securities, Inc. ("Easter Kramer") against Respondent Tyrone Hubbard ("Hubbard") ana arises out of certain transaction executed on October 7, 198

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard L. Goldman, (Claimant) vs. Piper Jaffray, Inc. and Thomas L. Monson (Respondent). Case Number: 99-02415 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Richard Goldman, ("Claimant"): Warren B. Bosch, Esq.: Attorney at Law, Denver, Co. Respondent, Piper Jaffray, Inc. and Thomas L. Monson ("Respondents"): Brian S. Heiberg, Esq., Piper Jaffray, Inc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nathan S. Rosenfeld and Evelyn Rosenfeld Claimant(s) vs. 88-03919 Drexel Burnham Lambert Inc. and Larry Wolfe Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Nathan S. Rosenfeld and Evelyn Rosenfeld alleged that Respondent^) Drexel Burnham Lambert Inc. and Larry Wolfe made unsuitable investments. Respondent(s) maintain that

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Burton J. Udelson and Shirley B. Udelson Claimant(a) vs. 88-03917 Fidelity Brokerage Services Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Burton J. Udelson and Shirley B. Udelson alleged that Respondent(s) Fidelity Brokerage Services would not waive a two percent purchase fee which the Claimant was unaware of. Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Henry Weisker, Trustee, Margaret Ryan Weisker Trust et al Claimant(s) vs. 88-03913 Daniel Owen Palmer Respondent(s) NOTICE OF ARBITRATION AHARD CASE SUMMARY Claimant (3) Charles Henry Weisker, Trustee, Margaret Ryan Weisker Trust et al alleged that Respondent ( s ) Daniel Owen Palmer made unregistered sales of securities. Respondent (

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between RICHARD RICE Claimant and ) ) CASE NO. 88-03908 GENERAL SECURITIES CORPORATION and BILL BAUM Respondents CASE SUMMARY In a claim filed with the NASD on or about December 12, 1988, Claimant Richard Rice alleged that Respondent Bill Baum, a registered representative employed by Respondent General Securities Corporation liquidated a short posit

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jean Pardini Claimant vs. CASE NO. 88-03902 Smith Barney, Harris Upham & Company, Inc. Steven K. Williams Respondents SUMMARY OF ISSUES This case was filed with the NASD on December 22, 1988. Claimant alleged Respondents misrepresented the safety and suitability for his investment objectives of limited partnership units in National Resource Mana

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William H. Widdows Claimant(s) vs. Geoffrey Kraft Respondent(B) AWARD 88-03887 The Arbitrator, George R. Freund, 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 December 9, 1988 and February 17, 1989, respectively; And,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William R. and Mary K. Hy-Des Claimant(s) vs. First Investors Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 88-02998 CASE SUMMARY Claimants William R. and Mary K. Hy-Des alleged that Respondent First Investors Corp. misrepresented the risks involved with investing the First Investors Government Fund. Respondents maintain that the Claimants were

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) Benjamin B. and Joan Greenberg, ) Claimants, } ) Case #88.02994 vs. > Award Prudential Bache Securities, Inc., ; Respondent. ) Heard before the members of the Arbitration Panel: Howard E. Kurzweil, Esq. Mr. Norris L. Friedlander Mr. S. Richard Savage CASE SUMMARY This claim was filed with the NASD, Inc. on September 23, 1988. The hearing w