UNIFORM SUBMISSION AGREEMENT NASD Arbitration - New York City Name of Sponsoring Organization With Which Claim is to be Filed NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tne Arbitration Between James R. Wall Claimant and Stuart A. Garner Johnston & Frye Securities, Inc. Susan Garner Gerry Garner Respondent(s) 88-03500 1. The undersigned parties hereby submit the present matter in controversy, 4s ,set forth in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among * Bobby C. and Betty Goodman * Claimant * Case #88-03499 vs. Award Melhado, Flynn & Associates, Inc. and * George M. Motz * Respondent * :ASE SUMK&RY Claimants Bobby C. and Betty B. Goodman (hereinafter "Claimant's) alleged that Respondents Melhado, Flynn & Associates, Inc. and George M. Motz (hereinafter "Respondents") mishandled Claimants accoun

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of Tdd- Qsict- p/ar ^orolaA L vs. j&roL u . NJ(y>ie •ni /^cAort/jflyt. The Arbitration Betweeid 'evife- Claimants i i f C*. Respondents •• ) ) | ) Award NASD i SUMMARY OF ISSUES This case was filed on ffewMi^fjL. & /98$ , QlJLsMidL ^r\a^ - > LTL m'l QjL mJL- i A Jvi \ " ( ,iC U \e

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Harcharan Singh Case No, 99-02485 Names of Respondents Syed Ahsan Naqvi Martin Marvin Berk Mohammad Ali Khan William Oakleigh Triebel John Joseph Svatek Asim S. Kohli Steven R. Jacobson William Walling Klein, Maus & Shire, Inc. REPRESENTATION OF PARTIES For Claimant: David Liebrader, Esq. of The Law Offices of David Liebrader

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) AWARD John Asher & Ron Colombo Claimant ) CASE #88-03490 vs. ) Andrew Cooper, III Respondent / SUMMARY OF ISSUES This case was filed on November 8, 1988. Claimants allege that while employed as brokers for Dean Witter Reynolds, they were contacted by Respondent who, at that time, was also employed by Dean Witter. Respondent was seeking assistance in soliciting attendees for seminars he c

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Daniel Tuteur Claimant(s) vs. Blinder Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-03480 CASE SUMMARY Claimant Daniel Tuteur alleged that Respondent Blinder Robinson & Company, Inc. mishandled his account. Respondents maintain that they were unable to secure a response. RELIEF REQUESTED Claimant Daniel Tuteur requested dam

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marvin and Maria Braun Claimant(s) vs. Young/ Stovall & Co. Respondent(s) NOTICE OF ARBITRATION AWARD 88-03478 CASE SUMMARY Claimants Marvin and Maria Braun alleged that Respondent Young, Stovall & Co. made misrepresentations with respect to securities they purchased which resulted in a loss. Additionally Marvin and Maria Braun alleged that Young/

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward H. and Jayne C. Adams Claimant(a) vs. 88-03476 J.J.B. Billiard, w.L. Lyons, Inc. and Ed Janeway Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Edward H. and Jayne C. Adams alleged that Respondent(s) J.J.B. Billiard, W.L. Lyons, Inc. and Ed Janeway violated their fiduciary and legal duties under the federal and state secu

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Harold Rosen and Beatrice. Rosen Vs. Claimant(s) NOTICE OF ARBITRATION AWARD 88-03475 DeafT Witter Reynolds and Peter Patterson . f s Respondent(s) CASK SUMMARY Claimant(s) Harold Rosen and Beatrice Rosen alleged that Respondent(B) Dean Witter Reynolds and Peter Patterson incorrectly charged a redemption fee on mutual fund shares s

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) TIMOTHY CLUNE & AMELIA CLUNE, ) Claimants, > vs. ) Case #88-03471 ) Award TEICHBERG LOEB WAXMAN 6 RABINOVITZ. INC.. ) Respondent. ) Heard before the members of the Arbitration Panel: Craig Edward Stein, Esq. Arieh Leo Douer S. Richard Savage CASE SUMMARY This claim was filed with the NASD, Inc. on November 7, 1988. The hearing was conducte