NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Eunice Combs Stevens Stephen Combs Claimants vs. Shearson Lehman Mutton, Inc. Stephen Colantuno Michael Neft Carol Morris Respondents Case #87-02657 AWARD CASE SUMMARY Claimants allege that Respondents improperly transferred funds from her accounts, and from a joint account with her son Stephen Combs, to her husband Stanford Stevens.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Mel Hyman ) Claimant ) ) Case #87-02655 vs. ) Award Brooks, Weinger, Robbins & Leeds, Inc. } ) Respondents ) CASE SUMMARY Claimant alleges Respondents made misrepresentations involving the initial price offering for the purchase of 222,222 units in Uniclub, Inc. Respondents deny any misrepresentations and assert Claimant has failed to mitiga

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among ) Ruth D. Kittell, ) Claimant ) Case #87-02648 vs. ) Award Prudential-Bache Securities, Inc., and ) Michael Chrys, ) Respondents ) CASE SUMMARY Claimant, Ruth D. Kittell, alleged that Respondent, Michael C. Chrys, failed to disclose the risks inherent in dealing with call options and other securities trading that he engaged in for Claimant's account. He a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Keith T. Abood vs. Claimant James Porz Respondent CASE 187-02625 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 16, 1987, Claimant Keith T. Abood alleged that Respondent James Porz, an account executive with Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch"), misrepresented to h

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) Sally L. Lowe Bifarella Claimant ) ) AWARD vs. ) CASE NO. 87-02613 A. Hunter Land, PaineWebber, Inc., Respondents ) and Merrill Lynch Money Markets, ) Inc. as successor of A. G. Becker, Inc. ) SUMMARY OF ISSUES This case was filed on December 15, 1987. Claimant alleged the following: The Sally L. Lowe Family Trust ("Lowe Trust") was created in July 1968 w

NASD Arbitration No. 93-02042 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between N^ame of Claimant (s) Evelyn Hansten Name of Respondent (s) Scares Financial Group, Inc. Gregory Soares REPRESENTATION For Claimant: Irwin Stein, Investors Recovery Service, Novato, California For Respondent Soares Financial Group, Inc. : No Appearance CASE Statement of Claim filed: May 19, 19

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-02575 Muirfield Holdings Limited Muirfield Holdings Limited #2 Volnay International Limited Lianne Properties Tamarind Management Names of the Respondents Hearing Site: Boca Raton, FL CIBC Oppenheimer Corp. John Layton Ashby William Louis Bingo Abbott Lee Glasser Arthur W. Lewis REPRESENTATION OF PARTIES For Muirfield Ho

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Painewebber Incorporated Award No. vs. 93-02037 Name of Respondent Stephen H. Ewanowski REPRESENTATION For Claimant, PaineWebber Inc. ("PaineWebber"), appeared Jeffrey A. Levinson, Esq. from the law firm of Choate, Hall & Stewart, located in Boston, Massachusetts. Respondent, Stephen H. Ewanowski ("Ewanowski"), appeared pro se. CASE INFOR

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James D. Craig Case# vs. 93-02032 Name of Respondents Bailey, Martin & Appel Inc BMA Advisors, Inc. Mark Perron Howard Appel Stephen Patrick Harrington Donald BaiJey Frank A. Martin Financial Equities Resources, Inc. REPRESENTATION For Claimant, James D. Craig ("Claimant"), Phillip M. Giordano, Esq. with

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George Jordan CASE NUMBER 93-02021 Name of Respondent^ Cowles, Sabol & Company, Inc. Dino Romano Gregory E. Ricca Foremost Services Inc. Mike Cava REPRESENTATION For Claimant, George Jordan ("Claimant"), Dan A. Druz, Esq., Sea Girt, New Jersey. For Respondent. Cowles, Sabol and Company, Inc.. ("Cowles"), Pat