NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael E. Martin Claimant(s) vs. 90-01096 J.F. Lowe & Co., Inc., J.F. Lowe and Chris Boeckhaus Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Michael E. Martin alleged that Respondent(s) J.F. Lowe & Co. , Inc., J. F. Lowe and Chris Boeckhaus repeatedly advised Claimant that a sell order had been executed when in fact C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In The Matter of The Arbitration Between: BARRY SPERLING AND SONIA SPERLING CLAIMANTS AWARD J90-01091 ADVEST, INC. PETER CALCUTTA JEFF SIEGEL RESPONDENTS CASE SUMMARY Claimants, Barry and Sonia Sperling alleged that they were unsophisticated investors when they were duped into opening an options account at Advest, Inc., using the proceeds of a home equity loan they were encouraged

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Elaine of Claimant. Gary V. Chensoff 90-01089 Mame of Respondent. Bear Stearns & Company In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about April 16, 1990, Gary V. Chensof f ("Claimant") alleged that Bear Stearns & Co. r Inc. ("Respondent") made an unauthorized purchase of shares of Manufactu

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Jfatter of the Arbitration Between ) Name of f!laimanl-rs\ ) George & Merle Keets JTIN ) ) Case No. 90-01088 ) Jeff Davidson ) Jack Westerfield ) ) ) Heard before the Arbitrator: Edwin B. Kagan, Esq. Public This claim was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on April 16, 1990. Claimants, Georg

N.A.S.D. AWARD NOTIONAL ASSOCIKTICN OF SECURITIES DRBERRS In the Matter of the Arbitration Between Windsor Hotel Claimant and 90-01086 Securities Settlement Corporation, First Options of Chicago, Inc. Respondents HH OF Claimant Windsor Hotel was represented by Jeffrey T. Demerath, Esq. of Greensfelder Hanker & Gale P.C., St. Louis, Missouri. Respondent Securities Settlement Corporation, was represented by Bradford L. Jacobowitz, Esq.

* I NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-04762 Charles R. Bradley, claimant vs. Matthew Fletcher, William Mitchell, Jeffrey Layne, Kevin Palmer, Teressa Atkins, Kathy Crosswell, respondents. ATTORNEYS: Claimant appeared Pro Se, North Hills, CA. For Respondents Matthew Fletcher ("Fletcher"), William Mitchell ("Mitchell"), Jeffrey Layne ("Layne") and Kevin Palmer ("Palmer"), appeared Alan E. Greenberg, Esq., of the f

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Terry & Joyce Kirk individually ) AWARD and as Trustees ) Claimants ) NASD #90-01084 vs. ) Black and Co r Inc. and ) L. William Tate ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 16, 1990. Claimants alleged that Respondents exercised discretionary

N.A.S.D* AWARD NKTICNRL ASSOCIATION OF SECURITIES DEAIERS In the Matter of the Arbitration Between Boleslaw J. and Janina Kielar 90-01076 Fidelity Investments For Claimants: Boleslaw Kielar. For Respondent: David C. Boch, Esq. of Bingham Dana & Gould. Statement of Claim filed: April 16, 1990. Claimants' Submission Agreement signed on: May 25, 1989. Statement of Answer filed by Respondent, Fidelity Brokerage Services, Inc. on October 9, 1990.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Santo Mangiarelli ) Jennie Mangiarelli, JTWROS ) Claimants ) ) AWARD vs. ) ) NASD #90-01075 M.L. Stern & Co. Inc. ) Harlan Friedman ) Respondents ) __ _ ) OF ISSUES Claimants alleged Respondents breached their fiduciary duty to them by placing their funds in the subordinated debentures of the Southmark Corporation and in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betareen Paul S. & Gail Tdtpkins 90-01074 Name of Resrondgntjs) First Affiliated Securities, Inc. S, Scott Rogers Broadcort Cap. Ctorp/vd.thdraw This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 19 f 1990. Claimants Paul S. Ttempkins and flail L. Tcnpkins (Tbrapkins) allege that Respondent S. Sc