NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jack Erickson Claimant(s) vs. 90-01384 Phillip Jay Cooper and Allied Capital Group, Inc. Respondent(s] NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Jack Erickson alleged that Respondent(s) Phillip Jay Cooper and Allied Capital Group, Inc. executed an unauthorized trade. Respondent Phillip Jay Cooper denied Claimant's allegations. R

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: GSG Securities, Inc., (Claimant) vs. James P. Rickey and Peter B. Choe (Respondents). Case Number: 99-03445 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant GSG Securities, Inc. ("GSG Securities"): Miriam G. Bahcail, Esq. and Steve M. Malina, Esq., Ungaretti & Harris, Chicago, Illinois. Respondents James P. Rickey ("Hickey") and Peter B. Choe ("Choe"), hereinafter co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of flaii Shearson Lehman Hutton, Inc. 90-01364 Name of Res Estate of Ward F. Stover Susan Chanof sky For Claimant: Mark J. Alsonso, Esq. For Respondent: Pro Se (Susan Chanof sky) case ngrnma-Kii Statement of Claim filed: May 14, 1990 Claimant's Submission Agreement signed on: May 09, 1990 Statement of Answer filed by Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of tne Aroirration Between Ernest 3. & Alene L. Morris Claimants AWARD vs. NASD =90-01359 Oppenheimer s, Co. Inc. John Beatty, Jr. Respondents } REPRESENTATION Claimants Were represented by Chris R. Youts.. Esq of Sirianni & Youtz, Seattle, Washington. Respondent Oppenheimer & Co. was represented by Michael R. Scott, Elsq. ~f Hillis Clark Martin & Peterson, Seattle, W

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Louis A. Magnano x Claimant x x CASE NO. vs. x 90-01354 x Thomas James Associates, Inc., x AWARD and Brian S. Thomas x Respondents x x CASE SUMMARY Claimant, Louis j. Magnano ("Magnano"), alleged -th»t Respondent Thomas James Associates, Inc. ("TJA") failed to properly advise him that his purchase of Phoenix Laser units would be

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Dr. Ashok and Meena Ashok Joshi ) ) Case No. 90-01350 Shearson Lehman Mutton, Inc. ) Randolph Luton ) Heard before the members of the Arbitration Panel: Steven D. Ellas, Esq. . Public Robert H. Hagan Industry Diane M. Percy, Esq. Public This matter was initiated by a Statement of Claim filed with the National Association of Securities Dea

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Mitra Razeghi ) Claimant ) ) AWARD vs. ) ) NASD #90-01341 Shearson Lehman Hutton, Inc. ) Charles Drakes and ) Mac Rogers ) Respondents ) SUMMARY OF This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on Hay 10, 1990. Claimant alleged: unsuitable securities transactions, failure to diversify, lack

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Josephine C. Leslie Trustee for the Josephine C. Leslie 1985 Trust Claimant vs. Shearson Lehman Hutton, Inc. George Main Respondents ) AWARD ) NASD NO. 90-01331 ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 10, 1990. Claimant alleged: breach of fiduciary duty, conver

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maria L. Benson Claimant(s) vs. 90-01329 Robert Allen and Scott & Stringfellow, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Maria L. Benson alleged that Respondent(s) Robert Allen and Scott & Stringfellow, inc. made an unsuitable recommendation. Respondent(s) maintain that they acted properly and could not fores

N.A.S.D. AWARD NWICNAL ASSOdfinCK OF SBCDR1TIES DEALERS In the Matter of the Arbitration. Between Name of vs. Lties, Inc. 90-01316 JoUy aman Govn of Securities, Inc. was rfpreumfflfl by Richard A. , TTHTV»4a- Ones D. 9*ink, Sr. Bopfciaa Law Firm, Little Rode, Jolly P.JL, Little Bode, Arkanaa*. by Patrick R. Janes of the •aeons S. Stone of Dover & Dixoo Stateaent of Claim filed on May 29, 1990 I Of^frt ~m^