NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Cowen & Co., } Claimant ) Case #88-01930 vs. ) Award Robert Onesti and ) Raymond Maille, ) Respondents ) Third-Party Claimants ) vs. ) Viceroy International Securities Corp. ) and Avin Bakal, } Third-Party Respondents ) CASE SUMMARY Claimant alleges that Respondent, Raymond Maille, maintained a margin account with Viceroy Internati

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William E. & Joann Miller Claimants vs. AWARD #88-01927 Blinder, Robinson & Co., Inc. Linda Helmly Respondents Case Summary Claimants alleged that Respondents Blinder, Robinson & Co., Inc. and Linda Helmly executed unauthorized transactions of common stock in their account and purchased shares in another security without their permission. Responde

yv/xso Arbitration H.A.S.L). NKEICNAL ASSOCIATION OF SBCIRmES EERU&& National Attociation ot Securities Dealer*, Inc. NASD Financial Canter 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between Carol A. Hamming Raymond J. Hamiing Case # 88-4)1925 vs diaries Schwab & Gonpany, Inc. Schwab & Ocnpany, Inc., without Wiich consisted of the claim was filed on June 15, 1988. Claimants, Caro

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. E. F. Mutton Company, Inc. Shearson Lehman Hutton Respondents In the Matter of the Arbitration Between Rudolf E. Mantel Claimant vs. ) Case #88-01924 Award The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in submissions to arbitration signed by parties on May 24, 1988 and August 22

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Joseph" A. Everett Claimant(s) vs, 88-01853 E.F. Button & Co., Inc. and Leonard Greenstein Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Joseph A. Everett alleged that Respondent(s) E.F. Hutton & Co., Inc. and Leonard Greenstein misrepresented facts concerning the future of a company. Respondent(s) deny the material allega

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Aivars Slucis Claimant(s) vs. 88-01850 Alton W. Hitts Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Aivars Slucis alleged that Respondent Alton W. Hitts Respondent sold stock in Claimant's account to meet margin requirements while Claimant was out of the country. Respondent maintains that he asked Claimant which stocks should be

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between — Dorothy D. Butler Claimant : vs. { Merrill Lynch, Pierce, Fenner & Smith Respondents and Gregory J. Hetzer 1 1 1 > Case 188-01845 > ' 1 Award 1 > Heard before the Arbitration Panel: Thomas M. Adams, Esq. Robert S. Clarke Luther D. Prater On May 17, 1989, the undersigned arbitrators heard the controversy

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Carlton FT Roberson Claimant(s) vs. 88-01844 Fidelity Investments Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Carlton F. Roberson alleged that Respondent Fidelity Investments did not execute a trade as directed. Respondent maintains that there is no record of the call Claimant alleges to have made and therefore finds no evidenc

- NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Mario J. Geraci Claimant ) vs. ) AWARD Templeton Fund Distributors Respondent ) CASE NO. 88-01839 SUMMARY OF ISSUES This case was filed on June 6, 1988. Transcorp Pension Services, Inc. was initially named as a Respondent. This entity is not a member firm of the National Association of Securities Dealers, Inc. ("NASD") and did not submit voluntarily to NASD

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03281 Sloan Horton UTMA Nichalaus Horton Trust Sloan Horton Trust Names of the Respondents Hearing Site: Little Rock, AR Edward D. Jones & Co. Daryl King REPRESENTATION OF PARTIES For Sloan Horton UTMA ("Horton"), Nichalaus Horton Trust, and Sloan Horton Trust, hereinafter collectively referred to as "Claimants": Gary P. Barket, Esq., Little Rock,