NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-02496 Olde Discount Corporation, claimant vs. Kevin F. Smith, M.D., respondent. ATTORNEYS: For claimant Olde Discount Corporation, appeared in-house counsel, Michael P. Knittel, Esq., Detroit, MI. For respondent, Kevin F. Smith, M.D., appeared G. Michael Smith, Esq., of the firm, Dean, Smith & Therrell, P.A., Atlanta, GA. DATE FILED: June 1, 1999 CASE SUMMARY: Claimant alleged

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Taro G. Gehani Claimant vs. J.B. Bee Securities Securities Settlement Corp. Respondents AWARD #88-03280 Case Summary Claimant alleges that J.B. Bee Securities and Securities Settlement Corp. were negligent in the manner by which they call back 'securities sold short by Claimant and the manner by which they covered Claimants position. Relief Reques

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marian T. Parker Claimant(s) vs. Paine Webber, Jackson & Curtis, Inc. and Fray Johns Respondent(s) AWARD 88-3277 The Arbitrator, Gerald Thomas Grady, Jr., having been 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 the parties on Octo

NATIONAL ASSOCIATION OF CSGCUR«t£gS aTBUiffRft, INC. In the Matter of Arbitration Between } FRANK J. & VIRGINIA E. SLATTERY ) Claimants ) v. ) NASD NO. 88-03276 JOHN FRANCIS, BROKER & SHEARSON ) LEHMAN CO. ) Respondents ) SIWARY OF THE CASE Frank J. Slattery and Virginia E. Slattery ("Claimants") purchased shares in the Shearson Lehman High Yield Fund on February 12, 1987. Claimants allege that they did not receive a prospectus; that Cla

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Jack E. Maxwell Claimant(s) •vs. Shearson Lehman Hutton, Inc. Respondent(s) AWARD 88-03275 The undersigned, having been 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 Claimant on October 20, 1988 and not by the Respondent as required by S

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Giovacco vs. Claimant Smith Barney Harris Upham & Co., Inc. Bruce Olephant Respondents AWARD #88-03271 Case Summary This proceeding was commenced by the Claimant Robert Giovacco ("Giovacco") to recover damages from the Respondents Smith Barney Harris Upham & Co., Inc. ("Smith Barney") and Bruce Olephant ("Olephant") from losses in Claimant'

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) JOHN P. KOCLANES AND ) MILDRED M. KOCLANES ) Claimants ) and ) ) CASE NO. 88-03269 SHEARSON LEHMAN HUTTON; ) WAYNE KOOGES AND OONALO McFAIL ) ) Respondents ) CASE SUMMARY In a claim filed with the NASD on October 20, 1988, and supplemented by a filing dated July 24, 1989, Claimants John P. Koclanes and Mildred M. Koclanes allege

I NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mrs. Yocheved Rivkah Adelman Claimant(s) vs. ISFA Corp d/b/a INVEST Respondent(a) NOTICE OF ARBITRATION AWARD 88-03263 CASE SUMMARY Claimant Mrs. Yocheved Rivkah Adelraan alleged that Respondent ISFA Corp. d/b/a INVEST negligently mishandled Claimant's account held with Respondent. Respondent denies Claimant's allegations. RELIEF REQUEST

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Paula Waldman, ) ) Claimant } Case #88-03258 ) vs. ) Award ) Advantage Capital Corporation, ) Respondent ) CASE SUMMARY The above-captioned claim was filed by the Claimant on October 20, 1988. In her claim, she alleged that the Respondent violated the Invasion of Privacy Act by exposing her personal accounts to public scrutiny, thereby b

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Estate of Marion J. Muller Claimant vs. Oean Witter Reynolds, Inc. Respondent AWARD #88-03257 Case Summary Claimant alleged that Respondent mishandled Claimant's account during the year 1987 by allowing margin transactions in the account and executing unauthorized trades. Respondent maintained that Claimant was a long-time, sophisticated investor and