NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Bernadette V. Rudolph Claimant vs. CASE NO. 88-01302 E.F. Hutton and Company. Inc. Respondents ) and Jerry William Burch ) SUWARY OF ISSUES Claimant filed this claim with the NASD on April 25, 1988 against E.F. Hutton and Company, Inc. and its account executive Jerry William Burch and alleged unsuitable securities transactions and breach of fiduciary duty.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Wedbush Securities, Inc. Claimant vs. Constance L. Critelli Respondent CASE NO. 88-01296 SUMMARY OF ISSUES Claimant filed this claim with the NASD on April 22, 1988 for recovery of an unsecured debit balance. Claimant alleged that in February, 1987 the equity in Respondent's account fell below minimum NYSE equity requirements; that Respondent failed to prov

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In tiie Matter of Arbitration Between) ) JON IJ , 'ttlOLLE, MARY KNOLLE, SCIPHHEST ) WOMEN'S CLINIC et al. ) Claimants v. PAI^B'EBBER, INC. PETER SPERLING, KEN SPERLING Respondent; NASD NO. 88-01293 CASE SMEARY Jon W. Knolle, Mary Anne Knolle, Southwest Women's Club Clinic Retirement Fund, and Southwest Women's Clinic Pension Fund (collectively referred to herein as "Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Eric Mitkus vs. Claimant CASE *88-01290 AWARD Bear, Stearns & Co., Inc. Loren Ben Respondents CASE SUMMARY Claimant, Eric Mitkus, alleges in his four-count Statement of Claim that Respondents Bear, Stearns & Co., Inc. and Loren Ben violated Section lOb of the Securities Exchange Act and Rule 10b-5, promulgated thereunder, by recommending that Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Thomas and Lulu Kavouras, Claimants vs. Rocky Mountain Securities and Investments, Inc. and Arthur Kaufman, Respondents Case 188-01288 Award On May 24, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants, Thomas and Lulu Kavouras, on April 18, 1988, and by Res

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Among Lynda S. Behrins and * Kenneth R. Behrins * Case #88-01280 Award Claimants * vs. * Merrill Lynch, Pierce Fenner & Smith * Marcel Wagner * Gerard McDavitt * and Dee Pak Raj * Respondents * _______—____—__-._—____..___.._.._____..___..____—___ * CASE SUMMARY Claimants, Lynda S. and Kenneth R. Behrins alleged that Respondents Merr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Raymond Jallow Claimant ) vs. ) AWARD Tidd Lackey & Co., Inc. and Respondents ) CASE NO. 88-01271 Donaldson, Lufkin & Jenrette ) Securities Corp. ) SUWARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 20, 1988. Claimant alleged damages in connection with stock purchased through his securities acc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Raymond Jallow Claimant ) vs. ) AWARD Bear Stearns & Co., Inc. Respondent ) CASE NO. 88-01270 SUWARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 20, 1988. Claimant alleged that on April 21, 1986, he placed a telephone order with Respondent to sell a specified number of shares in five over-the-count

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: UBS PaineWebber Incorporated, (Claimant) vs. Greg D. San Filippo, (Respondent) Case Number: 01-03262 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, UBS PaineWebber Incorporated, hereinafter referred to as "Claimant**: Romaine L. Gardner, Esq., a sole practitioner, Staten Island, NY. Respondent, Greg D. San Filippo, hereinafter referred to as "Respondent**

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George S. Kriegler Joan Kriegler Claimants vs. Edward A. Viner 5 Co., Inc. Fahnestock & Co., Inc. Christopher Carrol Respondents AWARD #88-01261 Case Summary This proceeding was commenced by the Claimants to recover damages from the Respondents arising from losses in Claimants' securities account which the Respondents maintained from approxima