NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Avelina Fernandez Claimant(s) vs. 88-01987 Larry Geller, Vanderbilt Securities, Prestige Investors, Inc. and Joseph Radcliffe Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Avelina Fernandez alleged that Respondent(s) Larry Geller, Vanderbilt Securities, Prestige Investors, Inc. and Joseph Radcliffe fraudulently misrepr

NATIOHAL ASSOCIATION OF SECURIT": DEALERS, INC. In the Matter of Arbitration Between SIDNEY and NATALIE BUCKMAN : Claimants NASD No. 88-02530 v. THE ILLINOIS COMPANY Respondent CASE SUWARY In a claim filed with the KASD on August 10, 1988, Claimants Sidney and Natalie Buckman (Claimants) allege that a six hour delay in execution of an optir.r. trade, specifically in buying back 2 major market index Nov 4-5 puts at the days high on Oc

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Hatter of Arbitration Between ) ) MARGUERITE ERRICO ) Claimant ) v. ) NASD NO. 88-02561 MERRILL LYNCH, PIERCE, FENNER & ) SMITH, INC. ) Respondent ) CASE SUMMARY In a claim filed with the NASD on or about August 12, 1988, Claimant Marguerite Errico, ("Errico") alleged violations by Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. of Section 10(b) of the Securities Exchange

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Elizabeth O'Connell Claimant ) ) vs . ) AWARD ) E.F. Hutton, Inc. ) Michael Schlegel Respondents ) CASE NO. 88-02636 _ ) SUMMARY OF ISSUES Claimant alleged Respondents breached their fiduciary duty co her by investing her funds in common stocks that were unsuitable for her financial condition, and that Respondents purchased securities fo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, IN THE MATTER OF THE ARBITRATION between PETER and FLORENCE ARIESSOHN Claimant(s) vs. MERRILL LYNCH PIERCE FENNER & & SMITH, INC. Ressoncer.tl s ; \\ •« \ AWARD 588-02510 Tr.e -rcsrsi cnec caing ---e A.-D--tretc-' se'sc-ac ~c -svisw ana '.re a T.at~er irs controversy Between Lhe accvs-~er.--,c-nea '_/ iu"fT'SPi^. : 3 ! — f^o ~ssccncsr.^; s /. 32" TorT": "i n ^ 5wi3mt ss'ior

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration B e t w e e n ^ ) Margaret Madden ) Claimant ) ) vs. ) CASE #88-02665 ) Shearson Lehman Brothers, Inc. ) ) Respondent(s) ) _J CASE SUMMARY The claim in this matter was filed August 22, 1988. Claimant alleged that Respondent sold the following shares of stock without authorization: 726 shares of Nissan Motors, 200

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between SIDNEY and REBECCA SEID, vs. PRUDENTIAL-BACHE SECURITIES, INC. and HOWARD SEID, Claimants, ) Case 188-02292 Respondents. Award Heard before the members of the Arbitration Panel: Professor Stephen K. Halpert Harry Polansky Leslie Bishop CASE SUMMARY This claim was filed with the NASD, Inc. on July 18, 1988. conducted in Fort Lauderdal

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated ("Claimant") v. Bernard Kate ("Respondent") Case Number: 05-04810 Hearing Site: New York. New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated hereinafter referred to as "Claimant": David W. Schmid

NASD Regulation, Inc. Office of Dispute Resolution REGULATION 125 Broad Street * 36th Floor' New York, NY 10004-2193'212-858-4400 ' Fax 212-858-4389 An NASO Compary Satellite Office at: 1735 K Street' 4th Floor * N W • Washington, DC 20006-1506 " 202-728-8958 * Fax 202-728-6852 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-03385 Barbara Sherwood, claimant vs. Harry Kaplan of ABC Financial Center and Cadaret,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00474 AIG Financial Advisors, Inc., a Delaware corporation Name of the Respondent Hearing Site: Baltimore, Maryland Ronald John Campbell Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For AIG Financial Advisors, Inc., a Delaware corporation, hereinafter referred to as "Claimant": John K. Fahey, Assistant Ge