NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Louis & Sonia Sirota JTWROS Claimant(s) vs. Gruntal & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-00048 CASE SUMMARY Claimants) Louis & Sonia Sirota JTWROS alleged that Respondent(s) Gruntal & Co., Inc. made unauthorized trades. Respondent(s) maintain that they made no unauthorized trades. RELIEF REQUESTED Claimant(s) Louis & Sonia

NATIONAL.ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert and Pamela Romanko Claimant(s) vs. E.F. Hutton & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-00046 CASE SUMMARY Claimant(s) Robert and Pamela Romanko alleged that Respondent(s) E.F. Hutton & Co., Inc. mishandled their IRA account. Respondent (s) denies all allegations. RELIEF REQUESTED Claimant(s) Robert and Pamela Romanko re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Burton Glazer vs Claimant ) Case #88-00036 Award First Affiliated Securities, Inc. and Elly Fischbach Respondents Heard Before the Arbitration Panel: David G. Skeen, Esq. Prudence W. Baldwin Donald C. Douglas SUMMARY OF ISSUES This arbitration was filed on January 8, 1988. Claimant alleges the following: Respondent Fischbach started

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02562 Morgan Keegan & Company, Inc., Claimant/Counterclaim Respondent vs. Daniel C. Holloran, Respondent/Counterclaim Claimant. ATTORNEYS: Claimant, Morgan Keegan & Company, Inc., appeared through its in-house counsel, Michael K. Henry, Esq., Memphis, TN. Respondent, Daniel C. Holloran, appeared pro se, Franklin, TN. DATE FILED: May 15, 2001 CASE SUMMARY: Claimant/Counterclaim R

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Leon Gray, Claimant vs. Steinberg & Lyman, Joseph Lalota, Jr., and Broadcort Capital Corp., Respondents Case #88-00028 Award CASE SUMMARY Claimant alleged that Respondents purchased an incorrect number of shares of Eastern Environmental Services, Inc. common stock without his authorization and then sold other securities in Claimant's account w

if: V NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) James G. Demos and ) Electra Demos Claimant(s) ) . ) AWARD ) vs. ) CASE NO. 88-00024 First Affiliated Securities, Inc. Respondent SUWARY OF ISSUES This claim was filed on Jan. 4, 1988. Claimants James G. and Electra Demos signed a written authorization whereby Claimants' financial advisor could make trades in Claimants' account with Re

N.A.S.D. AWARD NATICNAL .ASSOCIATION OF SECURITIES DEALERS In tiie Matter of the Arbitration Between Kevin V. Walden Claimant vs. 88-00020 E.F. Hutton & Company, Inc. (now known as Shearson Lehman Brothers, Inc.) Theodore Crowley and Lae Weiss Respondent Kenan V. Walden was represented by Barry H. Hart, Esq. of Phoenix, Arizona. Shearson Lehman Brothers, Inc, Theodore Crowley and Lea Waiss ware represented by Jesse B. Simpson, Esq. ,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Parvesh Kumar Sahi vs. E.F. Hutton & Co., Inc. and Charles M. Bloom Claimant Respondents Award NASD 188-00012 SUMMARY OF ISSUES This case was filed on January 4, 1988. Claimant alleged misrepresentation and breach of fiduciary duty regarding the commission charge in his purchase of a California Franklin Mutual Fund. He claimed that when he a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Securities Settlement Corp. Whitehall Securities, Inc. vs, Mehesh C. Mittal vs. Peter Gamfay Claimants Respondent Third Party Respondent - CASE #87-02879 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 31, 1987 Claimants Securities Settlement Corp. and Whitehall Securities, In

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Ernest Maresca ) Claimant ) ) Case #87-02878 vs. ) Award ) Annette Marino ) Respondent ) ) CASE SUMMARY Claimant Ernest Maresca alleged tltat Respondent Annette Marion failed to execute a sell order in API stock at $3.25 although Claimant made a verbal and written request for Respondent to sell his stock at that price. Respond- ent m