N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Roberta Wbolbright 87-02341 Name of Reacoiident ( s ) BAP Management Corporation Thomas Boeder!. Paul Mathas Roberta Wbolbrignt was represented by Paul J. Susman, Esq., Chicago, rc*. In a Statement of Cl** m filed with the National Association of Securities Dealers, inc. ("NASD") on or ~about November 25, 1987, Roberta Woolbrigh

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PaineWebber, Inc. vs. Steve and Helen Trimper vs. John Bogucz Harold Mathis Claimant Respondents AWARD #87-02333 Case Summary Claimant PaineWebber, Inc. alleged that due to the sudden decline in the market on or around October 19, 1987, Claimant was forced to liquidate Respondents' account without notice to Respondents which caused a debit

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Harold L. Adams and Dorothy M. Adams Claimant(s) vs. Dean Witter Reynolds, Inc. Respondent(s) AWARD 87-02331 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 November 19, 1987 and February 5, 1988

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Arthur Tuckman & Carol Tuckman Claimants } vs. ) AWARD Kennedy, Cabot & Co., Inc., Respondents ) CASE NO. 87-02327 Patty Moore, and Jack Robertson ) SUMMARY OF ISSUES Claimants alleged that Respondents negligently and fraudulently failed to execute an order to sell short 1,300 shares of Syntex common stock. Claimants further alleged that Respondents misrepres

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John J. and Erin M. Groden Claimant(s) vs. 87-02324 Blinder, Robinson & Co., Inc. and Stan Webb Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimants John J. and Erin M. Groden alleged that Respondents Blinder, Robinson & Co., Inc. and Stan Webb made an unauthorized transaction which resulted in a loss of $1,670.00. Respondents main

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Janeice Hunt-Schmidt, (Claimant) vs. David Lerner and David Lerner Associates, Inc. (Respondents) Case Number: 01-02764 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Janeice Hunt-Schmidt, hereinafter referred to as "Claimant": Jenice L. Malecki, Esq., Law Offices of Jenice L. Malecki, New York, NY. Respondents, David Lerner and David Lerner Associate

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Edward and Rose Shellek Claimant and A W A R D Prudential-Bache Securities, Inc. and 87-02321 Oavid Suescher & Laura Sedlak Respondents CASE SUMMARY Edward and Rose Shellek ("Claimants") alleges that Prudential-Bache Securities, David Buescher and Laura Sedlak ("Respondents") overcharged the Claimants when their investment in Cha

Region JLi. Year ?Q NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between JERREL 0. OLIVER and Claimant U.S.A. SECURITIES, INC., BILL LUNDBERG AND MARTY ALLRED Respondents CASE NO. 87-02310 CASE SUMMARY Jerrel D. Oliver ("Claimant") alleged that U.S.A. Securities, Inc., Bill Lundberg, and Marty Allred ("Respondents") made misrepresentations to the Claimant which induced the Claimant to make

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louis Montesi vs. Claimant ) - ) Case #87-02297 Award Dean Witter Reynolds, Inc. Respondent The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in submissions to arbitration signed by the parties on October 30, 1987 and March 11, 1988, r

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dr. Alexander Stein Claimant vs. ) AWARD Wedbush Noble Cooke, Inc. and Respondents ) CASE NO. 87-02294 David Swope ) SUMMARY OF ISSUES This case was filed on November 20, 1987. Claimant Dr. Alexander Stein alleges that his investment in a common stock was liquidated without his authorization. On or about January 1987, Claimant purchased 5,000 shares of said