NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sandra J. Binder Claimant vs. / ) Case #88-00559 Award Shearson Lehman/American Express, Inc. Respondent On April 24, 25 and 26, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Sandra J. Binder and by Respondent Shearson Lehman/American Express, Inc. The arbitr

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Perry C. Hisken, Jr. Claimant(s) vs. Charles Schwab & Co., Inc. Respondent(s) AWARD 88-00556 The undersigned, 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 February 5, 1988 and April 11, 1988, respectively; And

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stephen Visakay Frank Visakay AWARD vs. Case #88-00548 Stanley A» Aslanian L.F. Rothschild and Co., Inc. Case Summary Claimants Stephen Visakay and Frank Visakay alleged the Respondent Stanley Aslanian executed transactions in Claimants account without obtaining authorization from the Claimants and failed to follow instructions to execute a sell order

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Paul Stottsberry and Patricia Stottsberry, ) Claimant, ) ) Case #88-00546 vs. ) Award ) William B. Barton and ) E.F. Hutton and Co.. Inc., ) Respondent. ) Heard before the Arbitration Panel: George S. Coit Jr., Esq. Mr. Louis Saxton On May 4, 1989, the arbitrators heard the controversy between the parties as set forth in submissions

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Keith K. Stocker and Deborah A. Stocker ) ) •Claimants ) CASE NO. 88-00540 and ) A W A R D ) Edward D. Jones & Co. and Gary Peart ) ) Respondents ) CASE SUMMARY In a claim filed with the NASD on February 22, 1988, the Claimants Keith K. and Deborah A. Stocker, (" the Stocker's") alleged that Respondents Edward D. Jones and Co., (" Edward D.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. I In ;~he Matter of the Arbitration Between/Among Vinr.ent J. Coppola and Helga Coppola Claimants vs. Charles Schwab & Co., Inc., Dennis Avelli, Michael Duffy, Robert William Fivis and La-vrence John f-tupski Respondents Case #88-00535 Award V,M.J!_ J'71'll'IHfM Claimants Vincent and Helga Coppola (hereinafter the "Claimants"), alleged that Respondents, Charles Schwab & Co.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) LOUIS WALTER HERRING and KATHY HERRING, ) Claimants, ) ) Case /88-00533 vs . ) Award ) SHEARSON LEHMAN BROTHERS, INC. and ) LAWRENCE D. MARKMAN, ) Respondents. ) Heard before the members of the Arbitration Panel: Richard A. Freeman, Esq. Clifford P. Hoch, M.D. Andy Fernandez CASE SUMMARY This claim was filed with the NASD, Inc. o

NATIONAL ASSOCIATION OF SECURITIES DEALERS, IMC. in the Matter of the Arbitration Between ) ) Robert M. Clark ) ) Claimant ) and ) A W A R D ) 38-528. Merrill Lynch Pierce Fenner 1 Smith, Inc.; } Carlos Falcon ) Respondents ) On -Friday, May 5, 1989 in Southfield, Michigan, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on February 15, 19

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Karen B. Price Karen B. Price, IRA Names of the Respondents Rollins Financial Counseling, Inc. Joseph R. Rollins Case Number: 01-03193 Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Karen B. Price and Karen B. Price, IRA, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Plantation, Florida. For Rollins Financial Counseling, Inc. ("

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-00956 Anguo Ding, claimant vs. Pyramid Financial Corporation and Wyse Securities, respondents. ATTORNEYS: Claimant appeared Pro Se, Sunnyvale, CA. Respondents appeared through Dave Falk, Compliance Officer, Cupertino, CA. DATE FILED: March 3, 2000 CASE SUMMARY: Claimant alleged that while placing only one trade on respondent's online trading program three duplicate orders were recor