NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JOSEPH and JO ANN MALLAMO SR., ) Claimants, ) ) Case f87-02868 vs. ) Award ) MERRILL LYNCH, PIERCE, FENNER ) b SMITH, INC., ) Respondent. ) ) Heard before the members of the Arbitration Panel: Jerome A. Pivnik, Esq. Sidney M. Dubbin, Esq. Thomas J. Boyle CASE SUMMARY This claim was filed with the NASD, Inc. on December 31. 1987. Th

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Imdad IT. and Nadira Farooqi 93-00945 Names of Respondents Prudential Securities, Inc. Radhakrishnan Ramachandraiyer (a/k/a Krish Raman); Michael Durdil; and, Mark Tabit consolidated with Names of Claimants Abdul Rahman Laldin and Aasia Shamin Abdul Rahman 93-01444 Names of Re

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Imdad U. and Nadira Farooqi 93-00945 Names of Respondents Prudential Securities, Inc. Radhakrishnan Ramachandraiyer (a/k/a Krish Raman); Michael Durdil; and, Mark Tabit consolidated with Names of Claimants Abdul Rahman Laldin and Aasia Shamin Abdul Rahman 93-01444 Names of Res

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Ronald and Erika Mitchell and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Washington Square Securities, Inc. Herbert L. Wingo, Jacquelin A. Moody, and Park Avenue Financial Case Number: 01-02559 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Ronald and Erika Mitchell ("Claimants") were represented by Anthony

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Imdad U. and Nadira Farooqi 93-00945 Names of Respondents Prudential Securities, Inc. Radhakrishnan Ramachandraiyer (a/k/a Krish Raman); Michael Durdil; and, Mark Tabit consolidated with Names of Claimants Abdul Rahman Laldin and Aasia Shamin Abdul Rahman 93-01444 Names of Res

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David Lewis Trust Richard J, Lewis on behalf of Harriet Lewis Gayle Lewis Richard J. Lewis Claimants vs. Merrill Lynch Pierce Fenner & Smith, Inc. Norman Rockoff Respondents CASE fs 87-02870 87-02871 87-02872 87-02873 AWARD CASE SUMMARY Claimants allege that Respondents made unsuitable and unauthorized trades in their

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between : CASE #'s David Lewis Trust Richard J. Lewis on behalf of Harriet Lewis Gayle Lewis Richard J. Lewis Claimants vs. 87-02870 87-02871 87-02872 87-02873 AWARD Merrill Lynch Pierce Fenner & Smith, Inc. Norman Rockoff Respondents CASE SUMMARY Claimants allege that Respondents made unsuitable and unauthorized trades in th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between David Lewis Trust Richard J. Lewis on behalf of Harriet Lewis Gayle Lewis Richard J. Lewis Claimants vs. Merrill Lynch Pierce Fenner & Smith, Inc. Norman Rockoff Respondents CASE #'s 87-02870 87-02871 87-02872 87-02873 AWARD CASE SUMMARY Claimants allege that Respondents made unsuitable and unauthorized trades in thei

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between CASE fa David Lewis Trust Richard J. Lewis on behalf of Harriet Lewis Gayle Lewis Richard J. Lewis Claimants vs. 87-02870 87-02871 87-02872 87-02873 AWARD Merrill Lynch Pierce Fenner & Smith, Inc. Norman Rockoff Respondents CASE SUMMARY Claimants allege that Respondents made unsuitable and unauthorized trades in their

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Adolf Kohn NASD Arbitration No. 93-00497 Name of Respondents Bekhor Securities Corporation, dba First Affiliated Securities Bekhor International Group, Inc. aka International Barter Investment Group, Inc. Jonathan E. S. Bekhor REPRESENTATION For Claimants: Mark A. Potter, Esq. - San Diego, California For R