Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimant Kevin Carroll, v. Respondent CIBC Oppenheimer Corporation, Eric P. Weschke, Salvatore J., Sapienza, Tasin & Company, Inc. Case Number: 99-02818 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Kevin Carroll, hereinafter referred to as "Claimant" was represented by Royal B. Lee s III, Esq., of Bingham & Lee, P.C., located in San Antonio, Texa

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lloyd Moon and Karen Moon, (Claimants) vs. Global Equities Group, Inc., Scott Vandett, RJ. Steichen & Co., Inc., Michael Aparo, Abbey Ashford Brokerage House, Michael Christ, Alex Paul, Wayne Wichert, Steven Hellman, Calvin Moore, Martin Wegard, Damiano Coraci, Aleksandr Shvarts, Vadim Zeltser, Thomas Frye, and Hanifen, Imhoff Clearing Corp., (Respondents) Case Number: 00-0104

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Israel & Edith Port ) ) ) ) Case No. 89-02522 Josephthal & Co., Inc. ) Theodore Loevner ) Heard before the members of the Arbitration Panel: Marilyn B. Cane, Esq. George R. Canty, Jr. Thonas J. Boyle This claim was filed with the NASD, Inc. on September 11, 1989. The hearing was conducted in Fort Lauderdale, Florida on August 8, S

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gabi and Roberta Shabtai Claimant(s) vs. 89-02520 Wakefield Financial and George Palefsky Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gabi and Roberta Shabtai alleged that Respondent(s) Wakefield Financial and George Palefsky failed to execute a sell order prior to purchasing additional securities for Claimants' acco

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Sadie Appleman, individually Claimant ) and as Trustee of the Sadie ) Appleman Family Trust ) ) vs. ) AWARD ) Boettcher & Company and Respondents ) CASE NO. 89-02516 Craig Bailey ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on September 11, 1989. Claimant Sadie Appleman alleges th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) DEREK AND GLADYS GEORGE, ) Claimants, ) t ) Case #89-02513 vs. ) Award SHEARSON LEHMAN BUTTON, INC., and ) ANTHONY RODRIGUEZ, ) Respondents. ) Heard before the members of the Arbitration Panel: Myron Dunay, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on September 8, 1989. The hearing was conducted in Fort Lauderdale, Florida on

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Townsley Associates & Co., Inc. Claimant (sj vs. Thomas E. Gell Respondent(a) NOTICE OF ARBITRATION AWARI> 89-02511 CASE SUMMARY Claimant(s) Townsley Associates & Co., Inc. alleged that Respondent(s) Thomas E. Gell failed to pay Claimant for securities transaction originated by Respondent. Respondent denies Claimant's allegations and count

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Adrian H. and Audrey A. Krieg Claimant(s) vs. 89-02509 Financial Centre Securities and Martin Y. Agress Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Adrian H. and Audrey A. Krieg alleged that Respondent(s) Financial Centre Securities and Martin Y. Agress misrepresented the amount of the sales commission associated with

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joanne Passero Claimant vs. Timothy Rose Respondent AWARD 189-02506 Case Summary Claimant, Joanne Passero alleged that Respondent, Timothy Rose placed her in unsuitable securities and executed an unauthorized option trade in Claimant s account. Respondent Timothy Rose conceded that an unauthorized option trade did occur in Claimant's account but maint

Arbitration N.A.S.D. AWARD Nation.. As.oci.tion of Sacuritiaa Dniara, Inc. Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS Three First National Plaza Chicago, It- 60602 1312) 899-4440 In the Matter of the Arbitration Between Name of Clainant(s) John B. Menzer 89-02502 Name of. Respondent(si Equities International Securities CASE SMART In a claim filed on or about September 8, 1989, Claimant John Menzer alleges that Resp