Year ' "'^""^^ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tihe Matter of the Arbitjration Between Name of nautantfs) B. C. Christopher Securities Co. 88-01447 Name of Respondentfsi Richcircl Miller CASE SUMMARY In a Statement of Claim filed with the NASD on April 28, 1988, Clainant B. C. Christofrfier Securities alleged that Respondent breached an Dnrployment Agreemsnt executed by the parties an February 27, 1987 which pr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-03958 Benjamin Rosenbaum Names of the Respondents Hearing Site: Boca Raton, Florida J. P. Turner & Co. and William Mello Name of the Third Party Respondent Robert J. Vitale REPRESENTATION OF PARTIES For Benjamin Rosenbaum, hereinafter referred to as "Claimant": Eugene M. Kennedy, Esq., Law Offices of Eugene Michael Kennedy, Ft. Lauder

MATiCi'AL Asscc:.;r:o'! In the Matter or MroKranon Zev.ieen r I DEL I TV Pr?0!'E°." "^i^^'I CEiS , ' 'IC - " 5 i-^.a'it GRAY and CLAIRE McKELL.-R On January 12, 1^89 in MenDhis, Tennessee, the undersigned arbitrators beard the controversy betvjeen the 'parties •'iv> ?.^t "^i^t^ " si.' hr:.' "sio^c -•?'"'^itr'rtion sicn^o b'' ^.^ ^ ^' • 1 '"anr, :;n • • " , " - n^^ ' ' ~ ' " "-^"cn ''l'/ ^ 1 , . y . T.'^.G orbitrat':n ":::-^e'' ,iav"'-; :cnsf:erer :'^e

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Kenneth A. Brown Claimant vs. Shearson Lehman Hutton, Inc. Respondent Case #88-01412 Award On May 3, 1989, the arbitrator heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Kenneth A. Brown on April 29, 1988 and by Respondent Shearson Lehman Hutton, Inc. on July 11, 1988. The arbitrator, having considered th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Jean Wilson Claimant vs. Charles Schwab & Company, Inc Respondent Case #88-01352 Award On April 26, 1989, the undersigned arbitrator heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Jean Wilson on April 7, 1988, and by Respondent Charles Schwab and Company, Inc. on July 8, 1988. The arbitrator,

Christine Mulligan be and hereby are liable jointly and severally and shall pay to the National Association of Securities Dealers, Inc. the sum of Eight Thousand Five Hundred Dollars(S8.500.00) to represent forum fees and the Respondent Orexel Burnham Lambert, Inc. be and hereby is liable and shall pay to the National Association of Securities Dealers, inc. the sum of Eight Thousand Six Hundred Dollars and No Cents($8,600.00) to represent forum fees. NA

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between fitrik-LAjr V^x..i,J-< ^y^ Claimant!*) vs, Respondent(s) AWARD CASE NO. ?S-0//3Z SUrWVRY OF ISSUES This case was filed on Q^pjuJL U , ^^'^^ • 3 U-^r-^yv^ KUJJJ. 1/ ^ ^ ^ g-^u^< ^^< u^ "'^"^'^^ ^< ^^ ^UJZ-A (^IX^!ZA-^ DAMAGES AND RELIEF REQUESTED ^|2akn i h MnA^ c-c^ /-^ ^owv no-K-i' ^ DAMAGES AND RELIEF AWARDED

NATIONAL, ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Michael Ehrlich, Claimant, vs E.F. Hutton 4 Co., Inc. and Jerome Rosenstein, Respondents Case /88-0 L29I S- #88-00625 Award Heard before the members of the Arbitration Panel: Robin C. Campbell, Esq Mr. Henry Talerico III Mr. John C. Newsom CASE SUMMARY This claim was filed with the NASD, Inc. on April 21, 1988. The hearing was

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. — r / In the Matter of the Arbitration Between Andrew Watkins Claimant vs. Edward D. Jones & Co. Respondent L Case #88-01248 Award Heard before the members of the Arbitration "Panel: On May 24 and 25, 1989, the undersigned arbitrators heard the controversy between the parties- as set forth in submissions to arbitration signed by Claimant on Andrew Watkins on March 26, 1988, and by Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael S. Gladysiweicz Claimant(s) vs. Rushmore Securities, n.k.a. Allstate Investments Respondent(s) NOTICE OF ARBITRATION AWARD 88-01231 CASE SUMMARY Claimant Michael S. Gladysiweicz alleged that Respondent Rushmore Securities, n.k.a. Allstate Investments executed an unauthorized purchase of 500 shares of Beverly Development Inc. Respondent m