NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) PAINEWEBBER, INC. ) Claimant(s) ) and ) ) CASE NO. 87-02210 POORAN C. TRIPATHI AND ) PRATIMA TRIPATHI Respondent(s) CASE SUMMARY PaineWebber, Inc. ("Claimant") alleged that Pooran Tripathi and Pratima Tripathi ("Respondents") are liable to the claimant for amounts expended by claimant in order to cover Respondents short position on October

NATIONAL AS In the Matter of the Arbitration Between ) Patricia Ann Hanson Claimant ) vs. ) AWARD Alan C. Brookes Respondent ) CASE NO. 37-02186 SUWARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on November 12. 1987. Claimant alleged that Respondent acted negligently by partially liquidating her account on October 20, 1987 in response to a margin call without notifying her or allowing sufficient

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Bijan Yarjani and ) Nedereh Ahil Yarjani Claimant(s) ) ) AWARD vs. ) CASE NO. 87-02180 Barafaan Securities, Inc. and ) Hassan Hashamian Respondent(s) ) SUWARY OF ISSUES This case was filed on Nov. 10, 1987. Claimants opened an account with Respondents in mid 1986. At the time of the opening of the account Claimants allege that they informed Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Sarah C. DeMaria Claimant(s) vs. 87-02165 Blinder, Robinson & Co., Inc. vs. John G. Flanagan Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Sarah C. DeMaria alleged that Respondent(s) Blinder, Robinson & Co., Inc. did not execute a buy order as instructed by Claimant. Respondent Blinder, Robinson & Co., Inc. denies

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) } RENEE JANS DIAMOND and WENDY JANS ) Claimants ) AWARD v. ) NASD NO. 87-02090 ) SHEARSON LEHMAN BROTHERS, INC. ) On May 12, 1989, in Chicago, Illinois, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on October 28, 1987 by Claimants Renee Jans Diamond and Wendy Jans, on October 3,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Martin Lesser and Joan Lesser Claimant(s) vs. AWARD 87-02479 Blinder, Robinson & Co., Inc., Keith Galanti and Peter Maslin Respondent(s) The Arbitrator, Henry Baiter, 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 J

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Abraham Sebbag Claimant vs. Shearson Lehman Brothers, Inc. Shearson Lehman/American Express, Inc. Gaston Rosenwald Respondents ) ) Case #87-02507 Award On September 15, October 5, November 23, 1988 and January 3, 4, 26, 27, February 8, 9 and March 23, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in sub

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Jeffrey Matthews Financial Group, LLC, (Claimant) vs. Prudential Securities Inc., Brian Marzulli, and Joseph Kehoe, (Respondents) Case Number: 01-02750 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, The Jeffrey Matthews Financial Group, LLC, hereinafter referred to as "Claimant": Jonathan Kord Lagemann, Esq., a sole practitioner, New York, NY. Responden

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between James Trulis Claimant vs. Case #87-02516 AWARD Rick Digilio Respondent CASE SUMMARY This proceeding was commenced initially on December 8, 1987 by James Trulis against Rick Digilio and arises out of a certain account held by Claimant. Claimant alleges that the Respondent failed to execute a sell order on IBM November 100 options. Claimant assert

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between ) AHMAD TAGHIZADEH. ) Claimant ) v. ) CASE NO. 87-02519 ) AWARD MERRILL LYNCH, PIERCE, FENNER & ) SMITH, INC., JEFFREY HANSHAW, ) MICHAEL VORST ) Respondents ) On May 23, 1989 and May 29, 1989 in Houston, Texas the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Ahmad Taghizade