Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Mohammad Choudhry (Claimant) vs. Ehrenkrantz King Nussbaum, Inc. (Respondent) Case Number: 04-02681 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Dr. Mohammad Choudhry hereinafter referred to as "Claimant": Timothy Feil, Esq., Finkelstein & Feil, LLP, Bayshore, NY. Respondent Ehrenkrantz King Nussba

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Estate of E. Peerce Lake, William Lewis Lake and Lynda Lee Nugent, Co-Executors vs. Shearson Lehman Mutton, Inc. Claimants Respondent AWARD CASE #88-03448 CASE SUMMARY Claimant Estate of E. Peerce Lake, William Lewis Lake and Lynda Lee Nugent Co-Executors, alleged Respondent failed to timely place Claimant's securities with transfer agents and f

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Arthur A. Sills Claimant(s) vs. William J. Grombala & Edward C. Maier Respondent(s) NOTICE OF ARBITRATION AWARD 88-03447 CASE SUMMARY Claimant Arthur A. Sills alleged that Respondent William J. Grombala & Edward C. Maier made an unqualified distribution of securities. Respondents maintain that Claimant has been made whole and suffered no losse

f NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. V In The Matter of The Arbitration Between vs. one/ - ru Respondents ) NASD l ) SUMMARY OF ISSUES This case was filed on (JdLsLatii. j4\OL± - —-~ m/. ..._ i a JL • V AA< L/- RjiOerYrLl.'»J~ iiJ / \-nii» '/i ra -U \tefdtsnL -nm r l ,* su- 1 c > f A / /5tJt5_ • /ULnAtnr/nt fa I fLL< -JLcL n In nh/vL W»"

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration B e t w e e n ) ) Edward C. Geppi ) Claimant(s) ) vs. ) CASE #88-03443 ) Spear Securities ) AWARD Respondent(s) ) CASE SUMMARY Claimant, Geppi, purchased 2,000 shares of American Technology Corporation stock through Respondent Spear for a total of $1,080.00 on August 10, 1987. On October 10, 1988, Geppi sold said shares t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Mark I. Klein C'laitn-mt ) AWARD vs. ) CASE NO, 88-03440 ) Shearson Lehman Hutton, Inc. Respondent ) CASE SUWARY Claimant filed this claim on November 3, 1988, and alleged that Respondent was negligent in delivering untimely and incorrect information to Claimant causing him to suffer a loss in his account. Respondent maintains that it always provided

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David Yeazel, Claimant VS. Case 188-03438 Award Equities International Securities, Respondent CASE SUMMARY Claimant alleges that Respondent failed to execute cancellation or sell orders and improperly sold out his account. RELIEF REQUESTED Claimant seeks an award of $40,000.00. AWARD On June 21, 1989 and August 17, 1989, the undersigned

MAY 2 9 RET NATIONAL A')MJCIAT]',iM Oh' SECURITIES DEALl !•", In the Matter of the Arbitration Between John Brullman Claimant Thomas McKinney Aust.in Securities, Inc. Respondents AWARD #88-03437 Case Summary Claimant John Brullman alleged that Respondents Thomas McKinney and Austin Securities, Inc. overcharged him in commissions from January 18, 1988 through June 13, 1988 in excess of the schedule of commissions posted. R

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claunantfs) William R. Bahr Case No. 88-03436 Name of Respondent(s) Shearson Lehman Brothers, Inc. Martin Tamaroff Stephen Friedman REPRESENTATION For Claimant, William R. Bahr ("Bahr"): Richard Levenstein, Esq. of Heimberg, Heimberg, Roder & Levenstein. For Respondents, Shearson Lehman Brothers, Inc. ("Shearson'

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. S3SES = = = === = ==== = = = = = = = = = SS5SS»s:s=== = = = = sss In the Matter of the Arbitration Between Fidelity Brokerage Services, Inc. CASE #88-03429 vs. Robert J. Palese Claimant Respondent AWARD CASE SUMMARY On November 3, 1988, Claimant, Fidelity Brokerage Services, Inc., filed this claim and alleged that Respondent, Robert J. Palese, who maintained an account with it had a de