NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Howard Nesse Claimant vs. Merrill Lynch, Pierce, Fenner Respondents & Smith, Inc. and John P. Cody AWARD CASE NO. 88-00075 SUWARY OF ISSUES Claimant Howard Nesse filed this claim on January 12, 1988 against Merrill Lynch, Pierce, Fenner & Smith, Inc. and Account Executive John P. Cody. Claimant alleged damages incurred in his commodities-trading account

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Ray W. and-Barbara B. Phillips Claimants ) ) vs. ) CASE NO. 88-00073 ) Prudenti al-Bache Securities and Respondents ) Stan Brown ) SUMMARY OF ISSUES The claim in this matter was filed on December 14, 1987. Claimants Ray Phillips and Barbara Phillips alleged that Respondent Stan Brown, a representative of Respondent Prudenti al-Bache Securities, Inc.,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) GOLAM QM & KAMRUN CHOWDHURY ) Claimants ) NASD NO. 88-00070 v. ) FIDELITY BROKERAGE SERVICES, INC. ) Respondents ) CASE SUMMARY In a claim filed with the NASD on or about January 9 , 1988 Claimants Golan QM & Kamrun Chovdhury ("Claimants") alleged that Respondent Fidelity Brokerage Services* Inc. ("Respondent") misrepresented his financial position

NATIONAL ASSOCIATION or SECURITIES DEALERS In the Matter of the Arbitration Between Richard G. Synder vs. Claimant Ted Altenburg & PaineWebber, Inc. Respondents Award #87-00636 The undersigned, being the Arbitrator selected to review and determine a matter in controversy between (he above-mentioned Claimant and Respondents, set forth in submissions to arbitration signed by the parties on February 17, 1987, July 10, 1987 and July 14, 1987

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Bear Stearns & Co., Inc. vs. Robert Kuhn Claimant Respondent CASE #87-00669 AWARD CASE SUMMARY Claimant Bear Stearns & Co., Inc. alleged that Respondent Robert Kuhn placed an order to purchase 100 OEX puts. Claimant alleged that these putswere sold leaving a debit balance in Respondents account. Claimant alleged that this debit balance remains d

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Philip A. Haigh ) Claimant ) ) Case #87-00496 vs. ) Award L.F. Rothschild, Inc. ) William H. Carney ) Respondents ) ) CASE SUMMARY Claimant states that Respondents L. F. Rothschild and William Carney violated the Securities Act of 1933 and Securities and Exchange Act of 1934 as well as the Securities and Exchange Commission regulation and the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Lynn Schroeder Nanko 87-00538 Rnnrtenf :t a Prudential-Bache Securities Inc. Dcminic Fama Allan R. Campbell Claimant represented herself. Respondents were represented by Timothy Will of the law firm of Keesal, Young and Lagan. This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, In

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimants/CounterRcspondents Case Number: 01-02708 Russell J. Effrig and M. Bridget Effrig, JTWROS Respondents/CounterClaimants Hearing Site: Chicago, Illinois Merrill Lynch Pierce Fenner & Smith and Terri B. Ucci REPRESENTATION OF PARTIES Claimants/CounterRespondents, Russell J. Effrig and M, Bridget Effrig, JTWROS hereinafter collectively referred to as "Effrig": C. Phil

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Kenneth E. Lang, Claimant v. Murphy & Durieu, Kimberly Misuraca and Steven Cavagnaro, Respondents Case Number 00-00895 REPRESENTATIVES OF PARTIES For Claimant, Kenneth Lang: Charles S. Ferguson Seattle, Washington For Respondent, Murphy & Durieu and James E. Nealon Steven Cavagnaro Kelley Drye & Warren LLP New York, New York For Respondent, Kimberly Misu

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) HELEN SCHROEDER ) Claimant ) v. ) CASE NO. 87-00445 ) AWARD SMITH BARNEY HARRIS UPHAM & CO., INC. ) RAUSCHER, PIERCE, REFSNES, INC. AND ) ARV VILUTIS Respondents On August 3, 1988, December 9, 1988, March 2, 1989 and March 8, 1989, in Houston, Texas, the undersigned arbitrators heard the controversy between the parties as set forth in submissions t