TIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Robert Hyatt Claimant vs . Harold Peremel Respondent AWARD Case #90-00909 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 28, 1990 Claimant Robert Hyatt alleged the Respondent H ar P| d Peremel made a recommendation to the Claimant that was completely unsuitable for him given his age

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-04701 Marilyrm Massimi Names of the Respondents Hearing Site: Boca Raton, Florida Joseph Gunnar & Co., LLC and Theodore Hiotis REPRESENTATION OF PARTIES For Marilynn Massimi, hereinafter referred to as "Claimant": Kevin P. Conway, Esq., Conway & Conway, New York, New York. For Joseph Gunnar & Co., LLC and Theodore Hiotis, hereinafter collectively referred t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between" ) Name of Bessie Temslko ) ) ) Case No. 90-00902 ) Alexander Lambros ) Thomas Swisher ) Heard before the members of the Arbitration Panel: Brian G. Mooney, Esq. Public Richard J. Jones, III, Esq. Public Allison Hardage Industry Claimant, Bessie Temelko ("Temelko"), was pro-se. Respondents, Alexander Lambros ( "Lambcos " ) ,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of the Arbitration Between * Rachel Ray Raymond * Claimant * vs. * Case #90-00900 Award W. D. R. Equity Resource, Inc. * - * and Robert A. Sussman * Respondent * CASE SUMMARY Claimant, Rachel Ray Raymond ("Claimant") alleged that Respondents W.D.R. Equity Resources, Inc. and Robert A. Sussman ("Respondents") made material omissions and made material misrepresentations

Arbitration ® N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) ) Marylea Jordan ) ) Easter Kramer Group Securities, Inc. ) Integrated Resources Equity Corp. ) James Weber . ) Charles Hilbun ) ) ) National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Rorida 33301 (306) 522-7391 Case No. 90-00898 Heard

Arbitration N.A.S.D. FINAL ORDER 90-00892 National Association of Securities Dealers, inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Name of Claimants Medical Horizons LP - Talbot Trust et al Name of Respondents Fiduciary Services, Inc. Fiduciary Planning, Inc. Robert Johnston REPRESENTATION For Claimants: James Steffi. Esq. of Kemp, Klei

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nams nf r.laimantf s) /CoijntierreapQndents Steven J, & Brenda E. Horowitz 90-00891 Name of Merrill Lynch, Pierce Fenner & Smith Inc Jerry D. Warren This case was filed with the National Association of Securities Dealers, Inc. {"NASD") on March 26, 1990. Claimants/Counterrespondents alleged that in connection with options transactions, Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard P. Thomas and Caroline J. Thomas JTWROS Claimant(s) vs. Kennedy, Cabot & Co. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00888 CASE SUMMARY Claimant(s) Richard P. Thomas and Caroline J. Thomas JTWROS alleged that Respondent(s) Kennedy, Cabot & Co. mismanaged Claimants' account causing Claimants to suffer losses due to Respondent's

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Lillian Righter x Claimant x X CASE N< ». vs. x 90-OOHH ! x Waddell & Reed, Inc., x AWARD Lawrence Powell,Thomas Krewson, x and Robert Springer x Respondents x CASE SUMMARY Claimant Lillian Righter ("Claimant") alleged that Respondent Thomas Krewson("Krewson") took the Claimant's I ife savings, which had been previously securely i

NASD Dispute Resolution Arbitration No. 00-04700 Award Page 1 of 8 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Feridown Company, S.A., Compania Nediwel S. A., Cefinor, S.A., and KAP Trading Limited a/k/a KAP Trading Corp, (Claimants) vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., (Respondent) Case Number: 00-04700 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Feridown C