Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lee H. Kimmell and LKWT Partners, (Claimants) vs. Interacciones Global, Inc., (Respondent) Case Number: 99-02338 Hearing Site: New York, New York REPRESENTATION OF PARTIES s Claimants, Lee H. Kimmell ("Kimmell") and LKWT Partners ("LKWT"), hereinafter collectively referred to as "Claimants": Alan E. Kraus, Esq., Latham & Watkins, Newark, NJ (Mr. Kraus was with the law firm

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wayne R, and Merrily J. Starkey Claimants vs. Shearson Lehman Hutton, Inc. Michael Zackom Respondents AWARD 188-02667 Case Summary Claimants, Wayne R. and Merrily J. Starkey (hereinafter "Claimants"), alleged that on October 21, 1987, Respondent Michael Zackom (hereinafter "Zackom") refused to execute Claimants' order to purchase 3000 shares of Ne

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) ^AfcoL-D LuDujiG^ TeosTet OP rHt ) ) Award Claimant^ ) ) NASD No. 5tf -02-««.(x4, vs. ) . ,. . , U . ) ?Ruu ij. ^,UKJ£V Respondent's^ ) SUMMARY OF ISSUES This case was filed < xr /muU^ TJuu M ^AJ,g. d/U.g(. TO /U^VK. tUw . ( ^VUL. (UtteJ/L tk&± -H^uQ (cW . 4. ^y* 1 AxJAAjfu*^. (M

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Andrew J. Rego Claimant(s) vs. Rose & Co., Inc. Respondent(s) AWARD 88-02663 The Arbitrator, Neill Edward Hannon, Esq., 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 August 12, 1988 and December 23, 1988, respectively;

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Merrill Lynch, Pierce, Fenner & Smith, Inc. vs. Jerome Rothstein Claimant Respondent CASE 188-02662 AWARD CASE SUMMARY In a claim filed at the NASD on August 22, 1988, Claimant Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill") alleged that Respondent Jerome Rothstein ("Rothstein") failed to meet the maintenance call in Respondent Rothstein's

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) JACKIE G. MOSLEY ) CASE NO. 88-02661 and PRUDENTIAL BACHE RALPH GRISHAM AND Claimant ) ) SECURITIES, INC., ) ROE BURTON ) ) Respondents ) CASE SUMMARY Jackie G. Mosley ("Claimant") alleges that Prudential-Bache Securities, Inc. ("Respondent Bache"), Ralph Grisham ("Respondent Grisham"), and J. Roe Burton ("Respondent Burton")

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Radford S. Fisher, individually and ) as trustee ) Claimant ) and ) A W A R D ) 88-02658 PaineWebber, Inc. and ) William Foster ) Respondents ) CASE SUMMARY In a claim filed with the NASD on or about August 22, 1988, Claimant Radford S. Fisher ("Fisher") alleged that Respondents PaineWebber, Inc. ("PaineWebber") and William Foster ("

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Scott H. Carriere and Margaret B. Carriere as Custodian Claimant(s) VB . 88-02654 Shearson Lehman Mutton Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Scott H. Carriere and Margaret B. Carriere as Custodian for their children's funds alleged that Respondent(s) Shearson Lehman Hutton made an unauthorized purchase of sec

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James 0. and Janet L. Jones vs. Jim Clark Claimant(s) Respondent(s) AWARD 88-02651 The Arbitrator, Neill Edward Hannon, Esq., 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 Claimant on August 1, 1988 and not by the Respondent as r

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kevin Liles and Glenesa Liles (Claimants) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., Andrew E. Samalin, and Stephen Glynn (Respondents) Case Number: 04-07404 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Kevin Liles, Individually ("K. Liles") and Kevin and Glene