NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) John Co 1 eman and Jan B. Hayes, Jr. Claimants and AWARD ) 88-02002 Prudential Bache Securities, Inc. ) Respondents CASE SUMMARY In a claim filed with the NASD on June 2, 1988, Claimants John Coieroan Hayes, Jr. and Jan B. Hayes ("the Hayes"') alleged that Respondent Prudential Bache Securities, Inc. ("Prudential Bache"}, through its re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rick R. Maliria Name of Respondent 95-02230 Merrill Lynch Pierce Fenner & Smith, Inc. Name of Third Party Respondent Dean Witter Reynolds Inc. For Claimant Rick Malizia ("Claimant") and Third Party Respondent Dean Witter Reynolds Inc. ("Dean Witter") appeared Kenneth A. Bravo, Esq. from the law firm of Ulmer & Berne located in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Leon Schwartz Mendel & Etty Strul Helen K. Urban Helena Mitchell Lynde H. & Anthony T. Gaglia William C. Raney David Russell Gloriana V. Urban Claimants Prurient i.al Bache Secijr.H.j .-.•?, Inc H« 'v.'^i cH Go Mberg Martin Salzman Respondents Urban Third-Party K^p AWARD CONSOLIDATED CASES #88-02212; #88-02213 #88-02214; #88-02215 #88-02216; #88-02217 #8

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alan Shen, Claimant v. E*Trade Securities, Inc., Respondent Case Number: 99-03341 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jeffrey Dennis Ferentz, Esq. Greenbaum & Ferentz LLP Newport Beach, California For Respondent: Stephen G. Frye, Esq. Mark T. Drooks, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, California CASE I

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kenneth Chan Claimant vs. Golden Harvest Securities, Inc. Donaldson Lufkin & Jenrette Securities Corp. Gregory Yan Respondents CASE #88-02198 AWARD CASE SWMARY Claimant. Kenneth Chan, alleges thai Respondents, Golden Harvest Securities, Inc., Donaldson Lufkin & Jenrette Securities, Corp. ("DLJ") and Gregory Yan, advised him to engage in tran

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Metier of the Arbitration Between ) EDWIN D. .;;:o PATSY j. DEAN ) Claimants ) and ) ) CASE NO. 88-02145 WEDBUSH SECURITIES, INC. ) Respondent ) CASE SUMMARY Clav.r.ants Edwin D. and Patsy J. Dean (hereinafter the "Claimants") alleged t:-,at Wedbush Securities, Inc. (hereinafter the "Respondent") liquidatsr 1 Claimants' account without notifying Claimants of a margin call

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between) RALPH AND NORMA J. HELM ) Claimants ) v. ) Case No. 88-02140 E. F. HUTTON AND CO., INC. Respondent CASE SUMMARY In a claim filed on or about June 28, 1988, the Claimant's alleged that their order to sell silver futures contracts was negligently delayed due to the late arrival to work of their broker on October 3, 1983. The Respondent denied any negligence in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) I James Wilson Claimant ) and ) A W A R D ) 88-02131 First of Michigan ) Resondent and ) Third Party Claimant ) and } Monty L. Jackson Third Party ) Respondent ) SUMMARY OF CASE In a claim filed on or about July 5 f 1988, the Claimant alleged that he entered into an agreement with Respondent Jackson to jointly purcha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Catherine Santistevan and Joe Santistevan, Claimants v. United Securities Alliance, Inc. and Francisco Galvan, Respondents United Securities Alliance, Inc., Cross-Claimant v. Francisco Galvan, Cross- Respondent Case Number: 04-06937 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person Member v. Associated Person REPRESENTAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Richard Laub and Nancy Laub Names of the Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Ralph M. Byer Case No.: 02-02312 (consolidated with 02-00891) Hearing Site: Boca Raton, Florida In the Matter of the Arbitration Between: Name of the Claimant Alfred C. Laub Names of the Respondents Merrill Lynch Pierce Fenner & Smith, Inc