NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John T. Michalski Claimant(s) vs. 88-3456 Blinder Robinson & Co., Inc. & Aaron Brown Respondent(s) NOTICE OF ARBITRATION AWARD The Arbitrator, John H.L. Estrange, Jr., selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by John T. Michalski a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Garrett Cacciaguidi ) Barbara Cacciaguidi ) Claimants ) ) AWARD VS . ) ) NASD #88-03450 Discount Brokerage Service ) Financial Clearing & ) Services Corporation ) Respondents ) REPRESENTATION Claimants were represented by Steven M. Green, Esq., San Diego, California. Respondents were represented by Bradley D. Ross, Esq., of Sac

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATIONBETWEEN Dana C. Kent CLAIMANT vs. Shearson Lehman Brothers, Inc. Prudentia]-Bache Securities, Inc. Michael Prokop RESPONDENTS Case #88-03449 AWARD CASE SUWARY This proceeding was commenced initially on November 4, 1988 by Claimant Dana C. Kent ("Kent") against Respondents Shearson Lehman Brothers, Inc. ("Shearson"), Prudential-Bache Securities, Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Estate of Walter Staiman vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Claimant and ) Counter-Respondent ) ) Respondent and ) Counter-claimant ) Award CASE NO. 88-03356 Merrill Lynch. Pierce, Fenner & Smith, Inc. vs. Marvin Staiman Third-Party Claimant Third-Party Respondent Merrill Lynch, Pierce, Fenner &

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Jeffrey and Randee Binstock Claimants ) Award ) vs. ) CASE NO. 88-03352 ) Carol Lefcourt ) Lefcourt Financial Group, Inc. Respondents SUMMARY OF ISSUES This claim was filed on October 28, 1988. Claimant alleged: unsuitability, misrepresentation, breach of fiduciary duty and liability under the doctrine of Respondeat Superior with respect to the sale o

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nortna Scott Hay's Claimant vs. J.J.B. Hi 1 Hard. '••*'. L. Lyons. Inc. H. Loweil Wainwright Respondents Award 188-03347 Case Summary Claimant Norma Scott Hays (hereinafter "Claimant") alleged that she gave Respondent H. Lowell Wainwright (hereinafter "Wainwright") her money to invest and that she requested that Respondent J.J.B. Milliard, W.L. Lyons,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) WALTER STAUFFER ) ) Claimant(s) ) and } ) CASE NO. 88-03340 ) B. C. CHRISTOPHER, JOHN COULSON AND ) DUKE EVANS ) Respondent (s) ) CASE SUMMARY Walter Stauffer ("Claimant") alleged as follows: 1. B. C. Christopher, John Coulson, and Duke Evans (collectively referred to herein as "Respondents") in April of 1988 sold most of the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant? s^ Charles & Joyce Sablatura 88-03339 Name of. Respondent (s 1 PaineWebber, Inc. T. David Porter In a claim filed with the National Association of Securities Dealers Inc. ("NASD") on October 27, 1988, Claimants Charles and Joyce Sablatura alleged that Respondent T. David Porter, while acting as an agent of Respondent Paine

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Mohammed and Farzana Rashid Case No. 99-02503 Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Jeffrey Scott Lavner REPRESENTATION OF PARTIES For Mohammed Rashid and Farzana Rashid ("Rashid"), hereinafter collectively referred to as "Claimants": Randall W. Henley Esq., West Palm Beach, Florida. For Merrill Lynch, Pierce, Fenner

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC- In the Matter of Arbitration Between S- Milton Tolz Claimant vs. Shearson Lehman Mutton, Inc. Merrill Lynch Pierce Fenner & Smith, Inc. Respondents CASE #88-03331 AWARD CASE SUMMARY Claimant alleges Respondents failed to properly execute transactions in certain E'^COM South African Bonds. Respondent Merrill Lynch contends that since physical possession of the bonds could not be accompl