NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lu Lu Tsai, M.D. and Chow Ming Lin, vs. Timothy O'Keefe and Stuart James Company, Inc., Claimants ) ) ) Respondents ) ) Case 188-03697 Award CASE SUMMARY Claimant alleges that her broker, Timothy O'Keefe, the registered representative of Stuart James Company, Inc., misrepresented the price and performance of Wine Society of Ameri

Region .S L* Volame I , Number, NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Donald D. and Sharon L. Christensen, ) ) Claimants, ) AWARD ) vs. ) ) Case No. 88-03693 Tom Sawyers and Blinder Robinson & Co., ) jointly and severally, ) ) Respondents. ) SUMMARY OF ISSUES This case was filed on November 29, 1988 claiming that Respondent Sawyers made misrepresentations to

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kyong N. Kim & Soon K. Kim Claimant(a) vs. 88-03689 "Olde Discount Customer Services Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Kyong N. Kim & Soon K. Kim alleged that Respondent(s) Olde Discount Customer Services failed to execute in a timely manner an oral request of transfer of securities as ordered by the Claimants.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Earl Campin Claimant(s) vs. First Interstate Securities Now Pacific Rim Securities Glenn Ross and Russell Venable Respondent(s) AWARD 88-03687 The Arbitrator, Gerald Thomas Grady, Jr., selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration s

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ilya Lyachovsky Claimant(s) vs. 88-03686 Engler-Budd & Company & Alex Bernstein Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Ilya Lyachovsky alleged that Respondent Engler-Budd & Company and Alex Bernstein wrongly invested her funds in a high risk mining venture when she requested a minimum risk IRA investment. Neither Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James W. Korman and Barbara A. Korman Claimant(s) vs. 88-03685 Richard Warren and Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) James W. Korman and Barbara A. Korman alleged that Respondent(s) Richard Warren and Blinder, Robinson & Co., Inc. committed unauthorized transactions with respect

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Troy Lee Woody Claimant(a) vs. Shearson Lehman Hutton & Constance Combs Respondent(s) NOTICE OF ARBITRATION AWARD 88-03683 CASE SUMMARY Claimant(s) Troy Lee Woody alleged that Respondent(s) Shearson Lehman Hutton and Constance Combs misrepresented and failed to disclose material facts pertaining to Claimant's investment into Respondent's spons

HAT10MAL ASSOCIATION OF SECURITIES OEAUERS, INC. In the Matter of the Arbitration Between Paula Hlrschhorn Claimant vs. Robert Logan & Russell G. Heck Respondents Thomson McKinnon Securities, Inc. CASE MO. 38-03682 SUMMARY OF ISSUES This case was filed on November 28, 1988. Claimant Respondents breached their fiduciary duty to her by investing her funds 1n commodities futures through a strategy of Butterfly Spreads. Claimant further alleged

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert K. Masters, Claimant v. Cruttenden Roth, Inc., and Lawrence H. Butler, Jr., Respondents Case Number: 99-02374 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jeff Dennis Ferentz, Esq. Greenbaum & Ferentz, LLP Newport Beach, California For Respondent Cruttenden Roth, Inc.: John R. Loftus,Esq. Paul I. Hamada, Esq. Keesal, Young & Logan

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert D. Westfall Claimant(a) VS. 88-03680 Merrill Lynch, Pierce, Farmer & Smith, Inc. Respondent(s) AWARD The Arbitrator, Gerald T. Grady, Jr., 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 November 22, 1988 and January