NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Paul A. Breslin Claimant(s) vs. Merrill Lynch Pierce Fenner & Smith, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD 89-01211 CASE SUMMARY Claimant Paul A. Breslin alleged that Respondent Merrill Lynch Pierce Fenner & Smith, Inc. manipulated his account and made unauthorized trades. Respondent maintains that there was no manipulation of Claiman

FEB 13 KB NATIONAL ASSOCIATION OF SECURITIES DEALERS,INC. IN THE MATTER OF THE ARBITRATION BETWEEN Joaquim G. OeSousa Claimant vs. Wedbush Securities, Inc. Respondent Case #89-01205 AWARD CASE S1HKARY Claimant alleged that Respondent failed to pay him a dividend on common stock and adjusted the stock price to reflect the stock going ex-dividend in the middle of a trading day. Respondent maintained that the price of the stock

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John H. Graham Claimant(s) vs. 89-01202 Steven Cohen Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant John H. Graham alleged that Respondent Steven Cohen was negligent and mishandled his account. Respondent maintain that Claimant was advised of the decline in the price of his stock and the sale of his stock was a result of his own.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Steven Horn Roth Account, Steven Horn Personal Account and Steven Horn IRA Account (Claimant) vs. Morgan Stanley Dean Witter Reynolds, Inc. and Perry Rampley, (Respondents). Case Number: 99-02660 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Steven Horn Roth Account, Steven Horn Personal Account and Steven Horn IRA Account (hereinafter collectively referred to as

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among Karl Butler Claimant vs. Prudential Bache, Roger Yanow and Peter Owan Respondents Case #89-01199 AWARD CASE SIIWARY Claimant Karl 0. Butler alleged that Respondent Roger Yanow opened a speculative commodity futures account for the Claimant which was unsuitable for him. The Claimant alleged that Yanow never explained the exact nature of

Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street N.A.S.D AWARD New York, New York 10004 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ralph & Anita Zicherman and Herman Zicherman vs. 89-01196 Name of Respondent Mutual Service Corporation and Bruce Carnick CASE SUMMARY In a claim filed with the NASD on April 21, 1989 Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jesaka Neumann vs. Claimant AWARD #89-01194 Tucker, Anthony & R.L. Day, Inc. Tom Donaldson Respondents Case Summary Claimant Jesaka Neumann alleged that Respondents Tucker, Anthony & R.L. Day, Inc. and Tom Donaldson placed her account in unsuitable and speculative stocks which were not in line with her stated investment objectives. Claimant allege

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen Name of Claimantfsl James N Anderson et. al 89-01188 Name of Respondent(s) Dean Witter Reynolds, Inc. Ralph Pahnke Heard before: Name Public/Industry Langdon Owen Public / Chair_ Robert Thorup Public Thonas Borden Industry This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealer

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mr. and Mrs. William D. Fitzharris 89-01186 Claimant vs. OATH AND AWARD OF ARBITRATOR Oppenheimer & Co., Inc. Respondents : = = = = = = »»: = = = »= = = = = = = z = » = z = = tt = = = «c=s»: = = = === ==!==:=: . Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) John S. Forbes ) Claimant ) ) AWARD vs. ) ) NASD #89-01185 Frank Kubica ) Respondent ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 21, 1991. Claimant alleged that Respondent breached his fiduciary duty in recommending securities transactions which were not suitable