N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matte: of the Arbitration Between Geraldine and Donald DeSimone 88-03229 of Responden s Shearson Lehman Brothers F.lias Argyronoulos This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on October 18, 1988. Claimants Donald and Geraldine DeSimone (DeSinone) allege that Respondents Shearson Lehman Hutton, Inc. and Elias Argyropoulos caused D

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) MINNIE WEBER, ) Claimant, ) ) Case 188-03228 vs. ) Award PROFILE INVESTMENTS, ALAN BESHANY and ) GREGORY MARHOLIN, ) Respondents. ) Heard before the members of the Arbitration Panel) ARTHUR J. LEIBELL, ESQ. MR. LAWRENCE M. GREEN MR. HOWARD BIEL CASE SUMMARY This claim was filed with the NASD, Inc. on October 18, 1988. The hearing was c

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02490 Joel M. and Sharon Black, JTWROS, claimants vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se., Roslyn, NY. Respondent appeared through its Senior Compliance Analyst, Bob Salvador, Palo Alto, CA. DATE FILED: 06/01/99 CASE SUMMARY: Claimants alleged that in October of 1998 respondent was negligent in handling their account

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) HAROLD & MAXINE BROWN ) ) Claimants ) and ) ) CASE NO. 88-03227 B.C. CHRISTOPHER SECURITIES, CO., ) BLUNT, ELLIS & LOEWI, INC., ) WILLIAM ROSENBERGER, et al ) ) Respondent ) CASE SUMMARY A. Harold and Maxine Brown ("Claimants") alleged as follows: (B.C. Christopher Securities, Co., Blunt, Ellis & Loewi , Inc., William Rosenberger,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of Arbitration Between Dorit Yabrov Case #88-03226 Claimant AWARD vs. North American Investment Corporation Respondent vs. James L. Greenbaum Third-party Respondent CASE SUMMARY Claimant, Dorit Yabrov, alleges that Respondent without authorization executed the following trades: 2,500 shares of Worldwide Computer Services, Inc.; 1,000 shares of Coratomic, Inc.; 30,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Louise Margaret Padgett Claimant(s) vs. 88-03222 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Louise Margaret Padgett alleged that Respondent(s) Prudential-Bache Securities, Inc. committed unauthorized trading in Claimant's account held with Respondent. Respondent denies all allegations.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ABDUL M. KHAN ) Claimant ) and ) Case No. 88-03220 FIDELITY BROKERAGE SERVICES, INC. ) Respondent ) CASE STMHA1T The Claimant, Abdul H. Khan ("Claimant") alleged that Fidelity Brokerage Services, Inc. ("Respondent") improperly and negligently liquidated the claimants' margin account in violation of the Respondent's own rules and margin notices to the C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Israel Shurkin Claimant vs. First Albany Corp. and Anthony Forgione Respondents AWARD CASE 188-03508 CASE SUMMARY Claimant Israel Shurkin alleged the Respondents unlawfully closed his account without his authorization. Claimant further alleged Respondents charged him a commission in excess of what he agreed would be charged with- Respondent Anthon

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jodi M. & Dennis P. Colbern Claimant(s) vs. Power Securities, Inc., Ron Bajorek and Dave Eckert Respondent(s) AWARD 88-03503 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 the parties on October 28, 1988 and J

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Robert and Shirley Smith. Claimants, ) ) Case #88-03502 va • ) Award ) IDS Financial Services. Inc. and ) James A. Carney, ) Respondents . } ) Heard before the members of the Arbitration Panel: Paul Sidney Elliott. Esq. Mr. Sam Giunta Mr. Willard E. Fawcett CASE SUMMARY This claim was filed with the NASD. Inc. on November 8. 1988. Th