NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Halter Mykietiuch Claimant vs. Philips, Appel & Maiden, Inc. and Peter Capriotti Respondents Case #87-01966 Case Summary Claimant Walter Mykietiuch alleged Respondents, Philips, Appel & Walden, Inc. and Peter Capriotti churned Claimant's account using it to generate commissions and entered the Claimants into transactions that were unsuitable for

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Halina & Wojciech Winkler Claimants ) vs. ) AWARD Southmark Financial Services, Inc. Respondent ) CASE NO. 87-01948 SUWARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on October 15, 1987 against Financial Network Investment Corporation ("FNIC"). Claimants amended their claim in January, 1989 and named South

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among ) ) Randy McDermott, ) Claimant ) Case #87-01945 ) vs. ) Award ) Blinder Robinson & Co. and ) John Bennett, ) ) Respondents ) ) CASE SUMMARY Claimant alleged that Respondent, John Bennett, misrepresented the prices of Applied Genetics common stock and warrants and Stari, Ltd., as an inducement to purchase these securities and that thes

NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between J. Frederick Abel vs. Oppenheimer & Co., Inc. Craig Spring Jerry Borzeilo Claimant Respondents AWARD *87-0191Q Award On May 3, 1989 in Atlanta, Georgia the undersigned arbitrators heard the controversy between the parties as set forth in the Submission Agreements executed by Claimant J. Frederick Abel ("Abel") on September 17, 1989, by Respond

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Stephen M. Chu Claimant ) vs. ) CASE NO. 87-01905 Kennedy Cabot & Co., Inc. Respondents ) SUMMARY OF ISSUES This case was filed on October 8, 1987. Claimant alleges that Claimant was not permitted to make margin transactions in his account with Respondent due to a clerical error on the part of Respondent. Claimant states that he was told by Respondent that th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Douglas and Rhoda Fleischer, Claimants vs. Case 187-01886 Award Hal pert, Oberst & Company and Jeffrey Fladell, Respondents / CASE SUMMARY Claimants, Douglas and Rhoda Fleischer alleged that Respondent, Jeffrey Fladell, misrepresented the risk involved in the purchase of GNMA bond pools and further alleged that this purchase was an unsuitable

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ANDREW J. BERGER, vs. THE OHIO COMPANY and STEVEN GILBERT, Claimant, Respondents, Case #87-01883 Award Heard before the member of the Arbitration Panel: Hr. Roger C. Benson CASE SUMMARY This claim was filed with the NASD, Inc. on September 5. 1987. The hearing was conducted in Tampa, Florida on December 11, 1989 with a total of one session.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Robert J. Conine, ) Claimant, ) ) Case #87-01879 vs. ) Award ) Graystone Nash, Inc., Brady Neeld, ) Donald Eubanks and Cutwater & Veils, Inc. ) ) Respondents. ) Heard before the members of the Arbitration Panel: George Felos. Esq. Mr. Theodore F. Chive Mr. A. Grant Bohl CASE SUMMARY This claim was filed with the NASD, Inc. on

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Holly Ruth Nachbar vs. Claimant / ) Case #87-01874 Award Fidelity Brokerage Services, Inc. Respondent The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in submissions to arbitration signed by the parties on December 8, 1987 and February 17

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Carl Berlow & Norma Berlow Claimants vs. PaineWebber, Inc. Rotan Mosle, Inc. Jonathan Mirer Respondents AWARD #87-01861 Case Summary This proceeding was commenced by the Claimants to recover damages from the Respondents arising from the purchase of the common shares of Nationwide Power ("Nationwide"), an over-the-counter security. The Claimants al