88-02174 tfKCZaahL ASSOCZATXOR 0? SSCURITIltS DSALSRS la tt» mtttt: of tii« Arbitration B^twMn KLshAxd L, MbTMith, Dvbra G. Oalbraith D*ni«l K. Stlbraith, D«iil«l W. Galbralth Strtha E. Galbrftith, BIII7 7* Carter Ghmtjl L. Carter and Oiria Marvin Warnar ThoiQfon Ifcxinnon Sacuritieir Inc. and iJanaa Fullar In a claim £il»d with th« NASD on or about July 8, I988< r ths Claimni:* Allagad that thar bad no notarial prior axparivncMi

Re don NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Donald K. Speirs Claimant vs Shearson Lehman Hutton, Inc. William E. Daugherty, and Richard J. Day Respondent(s) CASE NO. 88-01913 SUMMARY OF ISSUES This case was filed with the NASD on June 14, 1988. Claimant alleged that he was unfairly terminated as an account executive, that Respondents breached an implied agreement between the parties

•" e Region 0 ^-^^^^^^^ ^v^^^^^^H I^Wn^OTHH Volume ^ , Number 3 Year 90 NATIONAL ASSOCIATION OF SECURITIES DEALERS, IMC. In the Matter of the Arbitration Between Robert and Jean Headley CIaimants and Chiles, Heider & Co., Inc.; Shearson/American Express, Inc. and Paul A. Waters Respondents AWARD 88-01888 CASE SUMMARY Robert and Jean Headley ("Claimants") alleged as follows: 1. Paul A. Waters ("Waters"), reg

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard N. Rainey Claimant(8) vs. F.D. Roberts Securities, Inc. and John B. Rogers Respondent(s) NOTICE OF ARBITRATION ANARD 88-01837 CASE SOHHARY Claimant (s) Richard N. Rainey al},eged that Respondent (s ) F.D. Roberts Securities, Inc. and John B. Rogers did not execute a sell order resulting in loss to the Claimant. Respondent (s) deny the al

• f NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration "Sst'i^en/A;nong Merrill Lynch Pierce Fenner ^ Smith Claimant vs Case *t88-0l499 Award (Consolidated w/ #88-01821 Moses Goldberqer Respondent In the Matter of the Arbitration Setweea/Among Sholem < s Moses Goldberger Claimant vs Case 488-01821 Award (Consolidated wf i*8801499 Merrill Lynch Pierce Fenner h Smith

SlOC>o3,H NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marcy J. McKown vs. Merrill Lynch, Pierce Fenner & Smith and James R. Sweeney Claimant Respondents ") ) { 88- o\n^ )CASEI881751 ) AWARD ) Ch April 10, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant on May 18, 1988, and by Respon

^(0^007 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Deborah Fishinan et al, I Claimant(s) i vs . ' AWARD WFS Securities Services, Inc. | n/k/a Ovest Marire and , Q&R Clearing Corp. i Respondent(s) f 88-01723 I The Arbitrator, John W. Jerak, having been selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas 07 Supak Claimant(8) vs. Shearson Lehman Brothers and Alan Solomon Respondent(s) NOTICE OF ARBITRATIOH AWARD 88-01720 CASE SUMMARY Claimant Thomas D. Supak alleged that Respondents Shearson Lehman Brothers and Alan Solomon made an unauthorized sale of Jason Mining shares to cover the margin call from Dento-Med shares. Respondents maintain

f. NATI0N7LL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Glenn Wilson Claimant(s) vs. Blinder, Robinson & Co., Inc. vs. Fred Axelrod Respondent(s) NOTICE OF ARBITRATION AWARD 88-01696 CASE SUMMARY Claimant(s) Glenn WiIson alleged that Respondent(s) Blinder, Robinson & Co., Inc. made misrepresentations. Respondent(s) maintain that they were apparently named as a party in this action under p

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hanna George Khouri and Christina Khouri (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Merrill Lynch & Co., Inc., and Henry Blodget (Respondents) Case Number: 02-03959 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member, Non-Member, and Associated Person. REPRESENTATION OF PARTIES Claimants Hanna George Khouri ("H. Khouri") and Christian Khouri