AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant ( Sabih Kalidy , ; an4 ' '00-04683 , ' ' ' , , Oklahoma City, Oklahoma Name of Respondent / 11 : ' • • , i Merrill Lynch, Pierce, Fenner & Smith, Inc. , . REPRESENTATION OF PARTIES i . . .'r, '' ' Sabih Kalidy, hereinafter referred to as ("Claimant") was represented by Jack L. Freeman, Esq. of the firm Jack

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen Name of Michael A. Geller 90-00664 Oppenheimer & Co., Inc. David Rhodes Heard before: Name Public /Indus try Ted M. Rosen, Esq. Public Arbitrator •flreodore Kimelman Industry Arbitrator Robert A. Castillo Public Arbitrator The Claimant was represented by Paula G.A. Ryan, Esq. from the lawfirm of Parker Duryee Rosoff & Haft. Tte Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^a| Gary M. Leeds 90-00660 Name of Respondents) Prudential-Bache Securities Inc. Albert Ginsberg This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 5, 1990. Claimant alleged, in connection with the sales and purchases of "puts" of United Airlines stocks: (1) violation of feder

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of niaimant:fsl Peter M. de Bakker 90-00652 Name of Fidelity Investments Claimant alleged that the Respondent did not invest his IRA funds as he instructed and did not correct the situation for him after giving further instructions to do so, Respondent maintained that the Claimant failed to follow the correct instructions in establishing his inv

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between ) ) Yvonne Van Boeckel ) Claimant ) ) AWARD vs . ) ) NASD NO. 90-00651 Waldron & Co. f Inc. ) Charles Hoffman ) Donald Duffy ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 5, 1990. Claimant alleged: lack of suitability in the purchase of securi

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Andrew Skurowitz and Avia Skurowitz Claimant(s) vs« 90-00650 Brown & Company Securities Corp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Andrew Skurowitz and Avia Skurowitz alleged that Respondent(s) Brown & Company Securities Corp. improperly permitted Andrew Skurowitz to trade in options. Respondent(s) maintain th

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lello Appliances Corp. Retirement Trust Claimant(s) vs. Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00648 CASE SUMMARY Claimant(s) Lello Appliances Corp. Retirement Trust alleged that Respondent(s) Shearson Lehman Hutton, Inc. sold securities which were unsuitable to the Claimant. Respondent denies Claimant's

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant-. w. Nick Tune 90-00647 Sterne of Respondents Shearson Lehman Brothers , Inc. and Mark Scritchf ield In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about March 5, 1990, W. Nick Tune ("Claimant") alleged that Mark Scritchf ield ("Scritchf ield") while employed by Shearson Lehman Hutton,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James L. May, Claimant v. Morgan Stanley Dean Witter, Inc., and Matthew Maloney, Respondents. Case Number: 00-04678 Hearing Site: Cincinnati, Ohio REPRESENTATTON OF PARTIES Claimant James L. May ("May") represented himself. Respondents Morgan Stanley Dean Witter, Inc. ("MSDW"), and Matthew Maloney ("Maloney"), hereinafter collectively referred to as "Respondents," were

90-00646 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (s^ Clement H. Vander Zanden and Violet Vander Zanden Name of Respondent^ Robert W. Baird & Co. Inc. and Dean V. High CASE SUMMARY "" .—-" :C In a Statement of Claim filed with the NASD on March 5, 1990, Claimant Clement H. Vander Zandan and Violet A. Vander Zanden alleged that Respondents sold them unsuitable