NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Leonard J. Lewis Claimant ) ) AWARD vs. ) CASE NO. 88-03574 Shearson Lehman Mutton, Inc., and ) Ronald J. Smith Respondent(s) ) SUWARY OF ISSUES This claim was filed on November 15, 1988. Claimant alleged: Misrepresentation in the sale and purchase of shares of a publicly traded company, VMX, Inc. (VMX). Specifically, respondents represented VMX as ha

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Menachem Margalioth Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Sonja Kohn Respondents AWARD #88-03573 Case Summary Claimant asserts that Respondent Sonja Kohn made misrepresentations concerning the borrowing of money (i.e. margin) to purchase GNMA Bonds owned by an affiliate of Merrill Lynch. Further Claimant contends Sonja Kohn made

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) CONSOLIDATED FINANCIAL GROUP, INC. ) ) Claimant ) and ) ) CASE NO. 88-03572 P. B. JAMESON COMPANY, INC., RUSSELL ) HADEN, AND WILLIAM PRINCE ) ) Respondents ) CASE SUWARY Consolidated Financial Group, Inc. ("Claimant") alleged that P. B. Jameson Company, Inc., Russell Haden, and William Prince (collectively referred to herein as "Respo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Party Name, Rajnikant R. Shah and Dilroza Shah, Claimants v. Edward Hunton and Everen Securities, Respondents, Case Number: 99-02526 Hearing Site: Seattle, WA REPRESENTATION OF PARTIES For Claimants: Jacquelyn Beatty, Esq. KarrTuttle Campbell 1201 Third Avenue Suite 2900 Seattle, WA 98101 For Respondents: Frederick D. Huebner, Esq. Cable, Langenbach, Kinerk

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Virginia B. Smith Claimant(s) ) ) AWARD vs. ) CASE NO. 88-03570 Michael Wong and Merrill Respondent(s) ) Lynch, Pierce, Fenner & Smith, Inc. ) CASE SUMMARY The claim in this matter was filed on November 15, 1988. Claimant alleged that she is unsophisticated and inexperienced in the area of buying and selling securities. She alleged that she took her portf

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between r Laurie Nolan and Curren Coco Name of Respondent/s} Blinder Robinson & Co., Inc. Collins Roussell 88-03568 Heard before the natters of the Arbitration Panel: Daniel E. Bivina, ill Public Arbitrator Gerald E. Siefken Public Arbitrator Worrell F. Trimble Industry Arbitrator This matter was initiated by a Statement of Claim filed with the

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Jacqueline Berry Claimant vs. Case #88-03567 AWARD Bay City Securities, Lane, McNally & Jackson, Inc. and Michael Jenkins Respondents CASE SUMMARY This proceeding was commenced by the Claimant Jacqueline Berry ("Berry") to recover damages from the Respondents Bay City Securities ("Bay City"), Lane, McNally & Jackson, Inc. ("Lane McNally") and Mi

H.A.C.D. MMTP Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (si William C. Johnson 88-03566 of Reapor Nations! Association of Securities Daators. Inc. Suite 1680 Thr«e First National Plaza Chicago, IL 60602 1312) 899-4440 J) FIDELITY INVESTMENTS F CASE SMART William C. Johnson ("Claimant") alleged that Fidelity Investments ("Respondent") neglig

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward J. and Marjorie E. Kohl Claimant(s) vs. NOTICE OF ARBITRATION AWARD 88-03562 Ziegler Thrift Trading, Inc. Respondent(s) • CASE SUMMARY Claimant (s) Edward J. and Marjorie E. Kohl alleged that Respondent(s) Ziegler Thrift Trading, Inc. failed to execute a sell order in a timely fashion. Respondent(s) denies Claimants' allegations.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Rafael Cerbon Claimant VS. Merrill Lynch, Pierce, Fenner & Smith, inc. Monarch Life Insurance, Co. Kay-Beth Vietti Joe Van Parys Respondents ) ) Award ) ) ) NASD No. 88-03560 ) ) ) ) ) ) ) ) ' ) ) SUMMARY OF ISSUES This case was filed on October 25, 1988. Claimant alleged the following: misrepresen