NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Pacific Options Claimant vs. ) CASE SUMMARY Charles Schwab & Co., Inc. Respondent ) CASE NO. 88-01258 SUMMARY OF ISSUES Claimant filed this claim with the National Association of Securities Dealers, Inc. ("NASD") on April 19, 1988 and alleged damages as a result of Respondent's actions during the period of October 16 through 23, 1987. Specifically, Claimant all

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Sandra L. Shushan Claimant(s) vs. Douglas Bremen and Co. vs. Hark Zimmerman Respondents) NOTICE OP ARBITRATION AWARD 88-01256 The Arbitrator, Albert A. Rapoport, 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 April 12,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Steven Shoham Claimant vs. Baraban Securities, Inc. Respondent CASE #88-01252 AWARD The undersigned, being the arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in a submission to Arbitration signed by the Claimant Steven Shoham on April 4, 1988 and by the Respondent Ba

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William 0. Hammond Sherryl Hammond Claimants Award vs. #88-01247 PaineWebber, Inc. Respondent The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimants and Respondent, set forth in submissions to arbitration signed by the parties on April 13, 1988 and July 14, 1988, respectivel

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among E. Timothy McCullough, Roy E. McCullough, Robert S. McCourt, Ross J. and Carol Ann Nese, Carl J. Kranick, David and Kathleen Graciano, Bruce Shepman, Richard H. and Darleen L. Graciano, Michael M. Michna and Richard H. and Holly M. McCullough, Claimants vs. Shearson Lehman Mutton, Inc. and William R. Martin, Respondents Case 188-01

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kathy M. Wheeler Claimant(s) vs, 88-01396 The Bottom Line Group Respondent(s) AWARD The Arbitrator, John W. Jerak, 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 the parties on April 18, 1988 and July 15, 1988, respectively;

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Armand J. Parker and Margaret O. Parker r JTTEN Claimant(8) vs. Bill Richey and Bob Frankel Respondent(s) AWARD 88-01384 The Arbitrator, Kent Mastores, Esq., selected to review and determine a natter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on April

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between) EILEEN F. BARCUS ) Claimant ) ) Case No. 88-01374 FIRST ENCO SECURITIES, INC. AND JOHN S. 6GOGLAY Respondents CASE SUMMARY On or about April 29, 1988, the Claimant filed this claim against the Respondents for unsuitable security transactions, fraud and negligence. Claimant alleged that Respondent Bodolay caused himself to be paid a $12,500.00 commi

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward J. Cranston Claimant(s) vs. NOTICE OF ARBITRATION AWARD 88-01368 Prudential-Bache Securities, Inc. Respondent(s) i CASE SUMMARY Claimant (s) Edward J. Cranston alleged that Respondents) Prudential-Bache Securities, Inc. delayed executing a sale of securities. Respondent (s) maintain that Claimant knew or should have known that the r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS PaineWebber Inc., (Claimant) vs. Douglas F. Joyce, (Respondent) Case Number: 01-03259 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, UBS PaineWebber, Inc., hereinafter referred to as "Claimant": Thomas G. Draths, Esq., Schuyler, Roche & Zwirner, Chicago, IL. Respondent, Douglas F. Joyce, hereinafter referred to as "Respondent", appeared pro se. CASE INF