NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Kidder Peabody & Co., Inc., vs. Aziz and Iffat Ahmed, and Aziz and Iffat Ahmed, vs. Kidder Peabody & Co., Inc. Claimant Respondents Claimants Case «88-01079 AWARD Case #88-01213 Respondent CASE SUMMARY Claimant, Kidder Peabody & Co., alleged that Respondents, Aziz and Iffat Ahmed, failed to respond to a margin maintenance call

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03226 Elliot G. Levy and Deborah L. Levy, as general partners of Levy Ventures Limited Partnership, Elliot G. Levy, M.D., Trustee of the Elliot G. Levy, M.D., P.A., Employee Profit Sharing Plan 10/1/89, Dr. Elliot G. Levy and Deborah L. Levy as co-trustees of the Developmental Resource Center, Inc. PSP DTD 4/1/92 for the benefit of Deborah L. Levy Name

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Eloise Cohen (formerly Eloise Burg) Claimant vs. Prudential-Bache Securities, Inc. and David Sage man Respondents Case #88-01078 AWARD CASE SUMMARY Claimant alleged Respondents made unauthorized purchases in non-liquid, high risk and unsuitable investments. Further, Claimant alleged that these transactions were made contrary to her instructions

/ I NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Leon Iknadossian Claimants ) and Lisa Iknadossian ) Case #88-01075 I vs. ) Award ) Charles Schwab & Co., Inc. Respondent ) Heard Before the Arbitration Panel: Aaron Fenton Daniel A. Weber Dennis E. Wollan CASE SUMMARY Claimants brought this claim on April 4, 1988 and alleged that Respondent Charles Schwab & Co., Inc. fail

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of the Arbitration Between Mary Ruth Wilson and Leslie Wilson Claimants vs. "he Stuart-James B. West ill Company, Inc. and Hiry Respondents Case fSa-01074 AWARD CASE SUMMARY Claimants Mary Ruth Wilson and Leslie Wilson alleged that Respondent Hiry West engaged in excessive and unauthorized trading in the Claimant's account. Claimants alleged that they were unsophistic

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Stephen G. Sheppard ) Claimant ) and ) A W A R D ) 88-01065 B.C. Christopher Securities Co. ) Respondent ) SUMMARY OF THE CLAIM Steve Sheppard ("Claimant") alleges that B.C. Christopher ("Respondents") made misleading statements, fraudulent misrepresentations and omissions of material facts in the negligent handling of Claimant's account.

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Daniel l. Miley Claimant vs. COS Investments,Inc. K.A. Knapp & Co., Inc. Larry L. Franke Respondents Case 188-00911 AWARD CASE SUMMARY Claimant Daniel L. Miley ("Miley") alleged that Respondent Larry L. Franke ("Franke"),an employee of Respondent K.A. Knapp & Co., Inc. ("Knapp"), made false representations as to the quality and value of an i

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) HUBERMAN, MARGARETTEN & STRAUS ) Claimant ) and ) CASE NO. 88-00909 ) AWARD MIRIAM L. KELLY a/k/a ) MARYLOU KELLY ) Respondent ) On February 28, 1989, March 1, 1989 and April 17, 1989 in Denver. Colorado, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on March 16, 1988 by Mich

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard F. Finucane Barbara C. Morris vs. Claimants Wakefield Financial Corp. George Palefsky Respondents AWARD #88-00903 Case Summary Claimants alleged that Respondents misrepresented investments to them and executed unauthorized transactions of common stock in their account creating losses. Respondents maintained that the Claimants at all times

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Igor Dmitrowsky vs. Claimant Steinberg and Lyman Broadcort Capital Corp. vs. Vincent Aquino Respondents Third Party Respondent CASE #88-00898 AWARD CASE SUMMARY Claimant Igor Dmitrowsky ("Claimant") . alleged that his broker Respondent Steinberg and Lyman ("Steinberg") the introducing broker and Respondent Broadcort Capital Corp. ("B