N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS »*~ In the Matter of the Arbitration Between Name of Claiman| Jeff Goldstein Case No. 93-01645 Name of Respondents Stratton Oakmont, Inc. Jordan Belfort Steven Cohen REPRESENTATION For Claimant Jeff Goldstein: Dyanne E. Feinberg, Esq. of Gilbride, Heller & Brown, P.A., Miami, FL. For Respondents Stratton Oakmont, Inc., Jordan Belfort, and Steven Cohen: Ronald Shindler,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the flaiTnants Case Number: 01-02596 Alexander Dedicov Nadie Dedicova p nf the Respondents Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Jane Frances LaMay Robert Aronberg Nature of the Dispute: Customers vs. Member and Associated Persons RF.PRF.SF.NTATION OF PARTTF.S Claimants, Alexander Dedicov and Nadia Dedicova, hereinafter collect

MflR.21.1997 12=21PM NASD REGULATION FL NO.997 P.I N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of CU Raymond, James & Associates, Inc. 93-01609 Name of Resoondentfs^ Lee Rosen For Claimant, Raymond, James & Associates, Inc. ("RJA P ): John N. Critchlow, Esq. of Raymond James & Associates, St Petersburg, Florida. For Respondent, Lee Rosen ("Rosen"): David C. Levemeicb, Esq. o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Catherine Lacey Rosemary Lacey and Ariene Beyna, Custodian for Terry and Thoma Beyna Claimants vs. Mosely Hallgarten, Estabrook & Weeden an Bruce P. Bagge Respondents REPRESENTATION OF PARTIES Claimants Catherine Lacey, Rosemary Lacey and Ariene Beyna were represented by Wayland B. Cedarquist, Esq., Chicago, Illinois. Respondent Bru

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) THOMAS E. SIMPSON ) Claimant(s) ) and ) ) CASE NO. 87-02603 BLINDER ROBINSON & CO., INC. ) Respondent(s) ) and ) Richard J. Tremaine ) Third Party Respondent ) CASE SUMMARY Thomas E. Simpson ("Claimant") alleged that Blinder Robinson & Co., Inc. ("Blinder") failed to properly execute his order to sell 200,000 shares of Abek, Inc. in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Carl N. Karcher, Trustee vs. Morgan Stanley & Co., Inc., Arthur L. Thompson and Joseph P. O'Conner, Jr. Between ) Claimant ) ) Respondents ) ) ) AWARD CASE NO. 87-02582 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on December 14, 1987. Claimant alleged that over a period of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between KARIN SMITH, Claimant, vs. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. and DANIEL K. MOORE Respondents, Case #87-02574 Award Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Mr. Andrew E. Baluk Anthony S. Paetro, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on December 11, 1987. The hearing was

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Robert H. & Frances Salvage, ) Claimant, ) ) Case 187-02565 vs. ) Award Jean Herriot Alexis, ) Respondent. ) Heard before the members of the Arbitration Panel: Howard E. Kurzweil Andrew Bartfay Richard Ragland CASE SUMMARY This claim was filed with the NASD, Inc. on December 11, 1987. The hearing was conducted in Fort Lauderdale, Florida,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) PALACIO S. WEINRAUB, INC., ) Claimant, ) ) Case 187-02550 vs. ) Award ) MERRILL LYNCH, PIERCE, FENNER & SMITH. ) INC., ) Respondent. ) Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Patricia A. Shub Anthony S. Paetro, Esq. CASE SUMMARY This claim was filed with the NASD. Inc. on December 10, 1987. T

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Jane K. Corradini vs. Claimant(s) AWARD CASE #87-02540 First Affiliated Securities, Inc. Thomas Garrity Respondent(s) SUMMARY OF ISSUES This case was filed on December 9, 1987. Claimant Jane K. Corradini alleges that Respondents First Affiliated Securities, Inc. and Thomas Garrity made unsuitable investments in her account, such as, limited partnerships, speculative securities and opti