NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Susan Kasrai and Mojtaba Azimpoup vs. Claimant(s) 88-03781 Stella Martinez and Investors Group Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Susan Kasrai and Mojtaba Azimpoup alleged that Respondent(s) Stella Martinez and Investors Group owe Claimants money due on an account adjustment. Respondent Investors Corp denied

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Vivian A. Anderson, Claimant, -vs- Equitas America LLC, Bernard L. Hemker, Clark F. Colton, Jr., Kenneth D. Warnick, Dennis J. Brown, and Equitas America Holding Company, Inc., Jointly And Severally, Respondents 00-01006 Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Vivian Anderson ("Claimant"): Laurence S. Schultz, Esq., D ri

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donald H. Waugh Claimant(s) vs. Levco Securities and Bob Peckerman Respondent(s) NOTICE OF ARBITRATION AWARD 88-03774 CASE SUMMARY Claimant(s) Donald H. Waugh alleged that Respondent(s) Levco Securities and Bob Peckerman negligently mishandled Claimant's account by failure to execute a sell order in Claimant's account with Respondent. Responde

JAN f 8 RECT3 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant vs. AWARD #88-03766 Eleanor Brandman Respondent Case Summary Claimant alleged that Respondent Eleanor Brandman failed to provide funds in her account to cover an order that Charles Schwab & Co., Inc. executed for 12,500 shares of common stock at the Respondent's request. Based upon Respondent's all

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of the Arbitration Between ) Diane Reed Claimants ) AWARD vs. ) CASE NO. 88-03059 Kenneth Brown ) Brown & Hawk, Inc. ) Fahnestock & Co., Inc. Respondents ) SWMARY OF ISSUES This case was filed on September 30, 1988. Claimant alleged Respondents fraudulently invested her funds in unsuitable, speculative common stocks, bonds and options, failed to disclose the risks of margin

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Gary W. Hametiaux and Judith Hametiaux Claimant(s) vs. 88-03834 Blinder, Robinson & Co., Inc. and Mr. Paul Mabry Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimants Gary W. Hametiaux and Judith Hametiaux alleged that Respondent Blinder, Robinson & Co., Inc. and Mr. Paul Mabry sold to Claimants Blinder International Enterprises, In

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) George Schmaus Claimant ) AWARD vs. ) CASE 188-03830 Shearson Lehman Hutton, Inc. ) David Filippini ) Rick Kendall Respondent ) SUMMARY OF ISSUES Claimant alleged Respondent Filippini fraudulently misrepresented to him on October 19, 1987 that a margin call would be made momentarily in his account, causing Claimant to sell 10,000 shares of Anheuser Bu

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Irving & Barbara Toplin Claimant(s) vs. 88-03829 Equities International Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Irving & Barbara Toplin alleged that Respondent Equities International mishandle Claimants stock account by the unauthorized sale of Recognition Technology stock in Claimants account with Respondent. RELIEF RE

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William 0. Jenkins, Jr. Claimant(a) vs. NOTICE OF ARBITRATION AWARD 88-03825 Howard B. Camper Respondent(s) j CASE SUMMARY Claimant(s) William O. Jenkins, Jr. alleged that Respondent(8) Howard B. Camper made unsuitable investments. Respondent(s) maintain that the Claimant met the "net worth" requirements, was provided with a prospectus, and unders

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Alexander Sytman, M.D., Claimants ) Custodian for Danie and Leatrice Sytman Custodian for Daniel Sytman, ) ) vs. ) AWARD ) Shearson Lehman Mutton, Inc., Respondents ) CASE NO. 88-03822 Daniel Burr and Stanley Schill ) SUMMARY OF ISSUES This case was filed on December 19, 1988. Claimants alleged that they invested in the Lord Abbett Mutua