NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) GULSHAN B. and DALJIT SINGH, ) INDIVIDUALLY AND AS TRUSTEES FOR ) GULSHAN B. SINGH PROFIT SHARING PLAN, ) Claimants, ) ) Case 188-02226 vs• ) Award DREXEL BURNHAM LAMBERT, INC., ) DAVID PINES and GREGORY YANKWITT, ) Respondents. ) Heard before the members of the Arbitration Panel: Anthony J. Titone. Esq. Arnold Sarrow Anthony S. Paetro, Es

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Tsze C. Tai Thelma S. Tai vs. L.F. Rothchild & Co. Jeffrey Laster Claimants Respondents Case #88-02224 Award CASE SUMMARY Claimants allege that on October 19, 1987 they requested Respondent Jeffrey Laster sell anything in their account in order to pay off the margin debt and that Respondents Jeffrey Laster failed to sell stocks in a timely m

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Charles Schwab & Co., Inc., ) Claimant, } ) Case /88-02223 vs. ) Award Peter Arcona and Janet Arcona. ) Respondents. ) Heard before the members of the Arbitration Panel: Mark Perry, Esq. Ms. Elizabeth L. Clark Mr. S. Richard Savage On May 17, 1989, the arbitrators heard the controversy between the parties as set forth in submissions to arbitra

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) CHARLES SCHWAB & CO. INC., ) Claimant, ) ) Case 188-02222 vs . ) Award ) RICHARD R. GARSH and ) JENNIFER R. GARSH, ) Respondents. ) Heard before the members of the Arbitration Panel: Arieh Leo Douer Craig Edward Stein, Esq. Curtis Carlson, Esq. On May 24 , 1989, the arbitrators heard the controversy between the parties as set for

PUBLIC i, N.A.S.D. JWAKD NATIONAL ASSOCXATXCN OF SaJUkiTlbSJ DEALERS In the Matter of the Arbitration Be' Arbitration National Association of Securities Dcatore. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (2-5 2} 858-4389 Florence R. Klein (t/a K/K Enterprises) Case * vs. 90-03308 Oruntal & Co., Inc. For Claimant: Sol H. Weiss, Esq. of the law firm of Auapol, Schwartz, Weiss and Schwartz, P.C.

Arbitration N.A.S.D. AWARD NKTICNAL ASSOCIflTICN OF SECURITIES DEALERS m the Matter of the Arbitration Between Jlamo of Salvatore & Lisa Saccaro Name of 90-03303 Shearson T.a*»i»ri Brothers, Inc. Guucyutte National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (2121 858-4389 Claimants Salvatore & r.< rm Saccaro ("Claimants") : Joseph. F. Bochat Keenan et al.

N.A.S.D. AWARD ASSOOanCN OF attAJkiTUai DEALERS In the Matter of the Arbitration Between ) ) Name of rn^^t (a) ) ) Annabel H. Newell ) ) Case No. 90-03302 ) HP™* of B^ff*ndent (s) ) ) Merrill Lynch Pieces Fenner & Sfflith Inc.) Smith Barney Hurls Dphan & Cb., Inc. ) Drexal *«•**>»«» TJI^I^I i , inc. ) Kidder, Peabody & Co., Incorporated ) Alan I. Schreiber ) Michael Novak ) David Place ) Tor Claimant, Amabel B. Ne

N.A.S.D. AWMZD AS90CBCTICN OP SECDHIT1BS In the Matter of the Arbitration Between Cf£ fT ^ Soxaert Products, lac. 90-03301 Piper, Jeffray & Hopwood, Inc. John P. Hula Kin For Claimant BaigeiL Products, Inc.: Jean M. Didier, Saq. of Ttoreen, JtotbaNB & IQaasp, St. fTloHri, M1mv«n< -n. For Reepmrfriats Pipar Jeffray & HopMood. Inc. and John Qulss THIrhtinl Lindsay, Esq. of Doarsey & Whitney, P.C. Minneapolis, Minnesota. For Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Madra Clapp Case vs. #90-02936 Name of Respondent John Weldon REPRESENTATION Claimant, Madra Clapp ("Claimant") represented herself. For Respondent, John Weldon ("Respondent"), Andrew Goodman, Esq., from the law firm of Rosner Goodman & Sullivan, located in New York, New York. CASE INFORMATION Statement of Claim fil

N.A.S.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clalmantl&L Caesar J. Wollheiin, Jr. National Association of Securities Dealer*, inc. One East Broward Boulevard Suite 1000 Ft. Uuderdale, Rorida 33301 (305) 522-7391 CASE f90-02014 Dean Witter Reynolds, Inc. Heard before the arbitrator: George Felos, Esq. Public Claijnant, Caesar J. Wollheim, Jr. ("W