NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between BSI Holdings, Inc. Claimant (s) vs. 89-02214 Car-Life Transmissions Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) BSI Holdings, Inc. alleged that Respondent(s) Car-Life Transmissions stopped payment on checks and gave no valid reason. Respondent did not defend. RELIEF REQUESTED Claimant (s) BSI Holdings, Inc. requested

NASO N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National AMoctation of Stturttla* OMian, inc. One East Broward Boulevard Suite 1000 Ft. Laudardale. Florida 33301 (305) 522-7391 In the Matter of the Arbitration Between ) ) ) ) ) ) Gladys Kays A.G. Edwards & Sons/ Inc. CASE #89-02213 Heard before the members of the Arbitration Panel: Allan J. Fedor, Esq. Mr. Harold M. May M

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Josephine and Fillipo Ciaramitaro Claimant(s) vs 89-02212 Stuart-James Co. Respondents) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Josephine and Fillipo Ciaramitaro alleged that Respondents} Stuart-James Co. made misrepresentations and were negligent. Respondent maintains that there was no breach of fiduciary duty and no violatio

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) JOANNE E. KRUIDENIER ) Claimant ) and ) ) CASE NO. 89-02207 PAINEWEBBER, INC. AND ) MICHAEL HOFKIN ) ) Respondents ) CASE SUMMARY Joanne E. Kruidenier ("Claimant") alleged that Michael Hofkin, a registered representative of PaineWebber, Inc. (Hofkin and PaineWebber are collectively referred to herein as "Respondent") made an unauthor

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Harold R. Bintliff Claimant(s) ve. 89-02206 Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Harold R. Bintliff alleged that Respondent(s) Shearson Lehman Hutton, Inc. charged an erroneous redemption fee when Claimant liquidated his mutual fund share. Respondent denies Claimant's allegations.

Award NASD Dispute Resolution, Inc. la the Matter of the Arbitration Between: Charles Schwab & Co., Inc., (Claimant) vs. Esther Zivyon, (Respondent) Case Number: 99-02757 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Charles Schwab & Co., Inc., hereinafter referred to as "Claimant": Mauricio S. Beugelmans, Esq., Corporate Attorney, Charles Schwab & Co., Inc., San Francisco, CA. Previously represented by: Edmund V. Saucedo, Case Ma

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; John E. Latus and Sheila E. Latus Trust, Claimant v. Merrill Lynch Pierce Fenner & Smith Inc. and Andrew M. Cunningham, Respondents Case Number: 00-01038 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Catherine L. Bland, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, California For Respondents: Michael E. Olney, Esq. Merr

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael J. Lepore Claimant(s) vs. Marty Hill, Power Securities Corp. and Joseph McDonough Respondent(s) NOTICE OF ARBITRATION AWARD 89-02204 CASE SUMMARY Claimant(s) Michael J. Lepore alleged that Respondent{s) Marty Hill, Power Securities Corp. and Joseph McDonough omitted to state material facts pertaining to Claimant's investment. Responden

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Irmgard A. Krabisch Case #89-02200 CLAIMANT AWARD vs. Paul Riven and Shearson Lehman Hutton, Inc. RESPONDENTS CASE SIBHARY Claimant Irmgard A. Krabisch alleged that the Respondents Paul Riven and Shearson Lehman Hutton, Inc. executed unauthorized transactions in her account and purchased unsuitable investments for her account. Specifically, the

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William J. Tracey Claimant(s) vs. 89-02195 Summit Investment Corp. and Phillip HUBS . Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) William J. Tracey alleged that Respondent(s) Summit Investment Corp. and Phillip HUBS failed to execute a trade. Respondent(s} did not respond. RELIEF REQUESTED Claimant (s) William J. Tra