NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between George A. & Jean W. Harris Claimant(s) vs. 88-01588 Kennedy, Cabot & Co. AWARD Respondent(s) 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 25, 1988 and June 24, 1988, respec

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Stephen Kertesz and Yolanda Kertesz and Names of Respondents Hantz Financial Services Steven Jarzabek and David Smith Case Number: 01-03252 Hearing Site: Southfield, Michigan NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Stephen Kertesz and Yolanda Kertesz ("Claimants") was represented by Jose

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Martin Krewitz Claimant Award vs. #88-01583 Bateman Eichler Hill Richards Josef Snettt Respondents 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 the parties on May 2, 1988, August 18, 1988 and September 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) JOSEPH V. KHAKSHOUR ) Claimant ) AWARD v. ) NASD NO. 88-01581 E.F. HUTTON 8. CO., INC., ) MICHAEL ROBERT FERCONIO ) Respondents ) On May 17, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on April 30, 1988 by Claimant Joseph V. Khakshour, on July 21, 1988 by James Ahigrim on be

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Ari&tration Between Robert John Russel and Charlotte Ann Russell, TTEE Claimant(s) vs. 88-01577 First Affiliated Securities, Inc. and Michael Pickering Respondent(s) NOTICE OF ARBITRATION AWARD 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

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Theodore M. Kruger and Claimants Maryl Balch Kruger vs. CASE NO. 88-01571 Shearson, Lehman Mutton, Inc. Respondents and Richard Singennan SUMMARY OF ISSUES Claimants filed this claim with the NASD on May 16, 1988 and alleged breach of fiduciary duty, breach of contract, fraud, and negligence in connection with Claimants purchase of 12,000 shares of Fuji

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David C. Black, Claimant vs. Shearson Lehman Mutton, Inc., and Roger Reynolds, Respondents Case #88-01569 Award CASE SUMMARY Claimant, David C. Black, alleged that Respondent, Roger Reynolds, failed to follow his order to shift his account from equities into government-issued bonds when its value exceeded $1.5 million and when its value decrease

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name Of naimant(s) ) ) Shearson Lehman Hutton, Inc. ) ) ) Case No. 88-01489 ) NjBnie_Qf_BBSBpndent f s] ) ) Richard Henry ) Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Public Virginia Rhyne Public Joseph H. Luby Industry Claimant, Shearson Lehman Button, Inc. ("Shearson"), was represente

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Wilhelm Rindner and Eva Rindner, vs. Bear Stearns & Co., Inc. and Max G, Anstacher, Claimants Respondents Case 188-01487 Award CASE SUMMARY Claimant alleges that respondent brokerage firm and its registered representative who had been given discretionary authority, improperly handled naked index options trading program developed over several y

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Charles Begini, Zoya Begini, Claimants ) Janet Eshaya, William Eshaya, ) Joan Holliday, Salim Hariri, ) Dusan Progovac, Hasan Sanobara, ) Charles Simon, Sergio Sole, ) AWARD Aniyan Varma and Naima Greffon ) ) CASE NO. 88-01481 vs. ) Shearson Lehman Brothers, Inc., Respondents ) Shearson/American Express and ) Robert Pacilio ) SUMMARY OF IS