Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Penny P. Landau, (Claimant) vs. Block Trading, Inc., Texas Capital Securities, Inc., Albert Garfield, William Murray (Respondents). Case Number: 99-02273 Hearing Site: Denver, CO REPRESENTATION OF PARTIES Claimant, Penny Landau ("Claimant"): appeared pro se with the assistance of Peter Landau. Respondent, Block Trading, Inc. ("Respondent Block Trading"): Daniel Kirshba

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. the Matter of the Arbitration Between ) Oavici R. Melen et al Claimants ) ) Case J87-01591 Vs. ) Award ) Shearson American Express, Inc. ) Dennis J. Orescher ) Craig Corliss ) Respondents ) ) On Thursday, March 30, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signeo by Claimants' on February 1, 1988, and by Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) TRUSTEES OF THE IMMANUEL LUTHERAN CHURCH ) & IMMANUEL LUTHERN CHURCH ) Claimants ) AWARD v. ) NO. 87-01554 BLUNT ELLIS & LOEWI, INC., ) ROGER KREUZER ) Respondents ) On December 16, 1988, May 10 and May 11, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration by the Claimant on August 15

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Claimant(s) ) ) AWARD vs. ) ) CASE NO. ferine/- Respondent(s) ) GaUc.j \ :ln o/ . .. / c A n J". "^ox a* w _ ) SUWARY OF ISSUES This case was filed on yTS i.ia/ n£4/u^li. iumiA nniMtsifJ • /L, L 7 ^^oALoTji^rt'^ viPx.u>,o (^ ( i j . ( '( fi n n*aL . \ e Lln JiJji QjisL ^n^L.6" _/VJL-

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between tjame of Claimants i Jean Goren, et al. 87-01529 Name of Respondent i s) Kidder, Peabody & Co., Incorporated Amelia Nerdrum-Turcotte For Claimant Jean Goren: Seth E. Lipner, Esq. of Deutsch & Lipner in Great Neck, New York. For Respondent Kidder Peabody, Inc.: Brian F. McDonough, Esq. of Shanley & Fisher in New York City. For Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Aron riardoon & Saida Hardoon, JTWROS Claimants VS. First Affiliated Securities, Inc. First Investors Corp. Anthony Errera "heresa MenneHa 7 irst Associated Financial Group, Ltd. Respondents AWARD #87-01510 Case Summary Claimants allege that Respondents failed to process their account 1n « timely fashion thereby causing them to sustain dam

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Teletest Corporation Claimants ) Sylvester Hilleary Williams ) Case ?87-01289 ) vs. ) Award Monarch Funding Corporation Leo Eisenberg Michael Eisenberg Respondents ) On August 3, 1988 and May 5, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants Sylvester Hille

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mark W. Alford Claimant(s) vs. 87-1195 Kennedy/ Cabot & Co./ Merrill Lynch/ Pierce, Fenner & Smith Inc. Respondent(a) AWARD The Arbitrator, Larry J. Dagenhart, Esq., having been 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 Mark Alf

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Maxine G. White Claimant ) vs. ) AWARD Thomas F. White & Co., Inc., Respondents James Hankoff, Stuart Newmeyer, and American Capital Marketing, Inc. CASE NO. 86-01418 Heard Before the Arbitration Panel: George M. Wiener SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on September 17, 1986. C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ming K. Louie Claimant(a) vs. 87-1105 Olde Discounte Stockbrokers Respondent(s) NOTICE OF ARBITRATION AWARD The Arbitrator, Larry J. Dagenhart, 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 June 16, 1987 and Septembe