NATIONAL iSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bruce E. Kane vs. •'.'laimant Bob Najarian L'Argent Securities, Ltd. Randy Heiner Heiner & Stock, Inc. espondents AWARD #88-02447 Case Summary This proceeding was comr Respondents Bob Najarian/L Stock, Inc. arising from • securities during 1986 anc Bob Najarian made several t as allegations that the Re- the Claimant prior to his L

NATIONAL ASSOCIATION GF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Kidder Peabody & Co., Inc., vs. Aziz and Iffat Ahmed, and Aziz and Iffat Ahmed, vs. Kidder Peabody & Co., Inc. Claimant Respondents Claimants Respondent i^ase »88-01079 AWARD Case #88-01213 CASE SUMMARY Claimant, Kidder Peabody & Co., alleged that Respondents, Aziz and Iffat Ahmed, failed to respond to a margin maintenance call r

-lATIONAL ASSOCIATIOH OF SECURITIES DEALERS. INC. In ''atter of Arbitration Between ALFRT" j. OLEKSY Claimant V. FO'-:: -'E AND NATIONAL FINANCIAL SERv . •; CORP. Respondents AWARD NASD NO. 88-03442 SWtiARY OF THE CASE Alfred J. Oleksy ("Claimant") alleges that Folio One BroicT.^e Service ("Respondent") violated the New York Stock Excn-.r .e rules and regulations in not executing an order for a buy four hundred shares of Coca

>;AT:ONAL ASSOCIATIO:: OF SECURITIES DEALERS, INC. ( In the Matter of Arbitratior Setween) HAROLD D. ROGERS ) Claimant ) NASD NO. 88-03802 V. ) 0?P£:^HEIM£R & CO., INC. ) Rescrndent ) '. ) C'J'E SUWARY In a claim filed with the NASD on December 12, 1988, C-ui'^.-nt Harold D. Rogers "'Rogers") alleged that Respondent Lipps'.iheimer & Co., Inc, ("Oppenheimer ") executed an i-nciiL'sorized sale of treasury notes in Rogers' account at a

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants David Sapers 97-05100 Name of Respondents Josephthal, Lyon & Ross, Inc. Bear Stearns Securities Corporation REPRESENTATION For Claimant David Sapers ("Claimant") appeared Howard A. Brick, Esq., from the law firm of Donoghue, Barrett & Singal, P.C. located in Boston, Massachusetts. For Respondents Josephthal, Lyon & Ross, Inc. ("Josephthal") and Bear St

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05097 L. Joseph Sessa and Pearl Sessa, claimant vs. Jim Hancock, George Stambouli and Sauceda & Granville Securities, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, San Jose, CA. For Respondents Jim Hancock and Sauceda & Granville Securities, Inc., appeared Cynthia King Sadick, Esq., Boulder, CO. Respondent George Stambouli appeared Pro Se, Brookl

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Lewis Cohen 97-05096 Name of Respondents Briarwood Investment Counsel Michael J. Galletta REPRESENTATION For Claimant Lewis Cohen ("Cohen") appeared Michael P. Gilmore, Esq., of the law firm of Wexler & Burkhart, P.C., located in Mitchel Field, New York. For Respondents Briarwood Investment Counsel ("Briarwood") and Michael J. Galletta ("Galletta")

AWARD NASD Regulation, Inc. CASE: 97-5086 Warren D. Craig and June E. Craig, claimants vs. Argent Securities and Paula Leuchs Moats, respondents. ATTORNEYS: Claimants appeared Pro Se. - Ft. Pierce, FL. For respondent Argent Securities, Inc. appeared Kenneth Brill - Atlanta, GA. Respondent Paula Leuchs Moats appeared Pro Se. - Atlanta, GA. DATE FILED: 10/24/97 CASE SUMMARY: Claimant alleged failure to execute and negligence. Claim Data Award

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Peter J. Snyder Case No. 00-02313 Name of Respondent American Express Financial Advisors, Inc. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Peter J. Snyder ("Snyder"), hereinafter also referred to as "Claimant": Albert A. Rapoport, Esq., Boca Raton, Florida. For American Express Financial Advisors, Inc. ("American Express"), h

\v\m AWARD . ;r\\ ^'Jv,.'V. NASD Regulation, Inc. * • ; v In the Matter of the Arbitration Between Mark Milewicz and Deborah Milewicz, Claimants, v. No. 97-05085 Meyers Pollock Robbins, Inc., Respondent and Cross-Claimant, Bear Stearns Securities Corp., and Arnold Schneider, Respondents and Cross-Respondents. REPRESENTATION OF PARTIES Claimants Mark Milewicz and Deborah Milewicz ("Claimants") were represented by John A. Hubba