NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Harold G. Wiebke Claimant vs. Integrated Resources Equity Corporation Bernard McGee Respondents CASE #88-03468 AWARD CASE SUMMARY Claimant contends Respondents committed unauthorized sales of his stock in Creative Video Applications. Claimant also alternatively contended at the hearing that even if the sale of Creative Video Applications was aut

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eileen Luisi Claimant(s) vs 88-03217 Prudential Bache Securities, Inc. Jeanine Webster, Bryon Wiswell & Floyd Jordan Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Eileen Luisi alleged that Respondents Prudential Bache Securities Inc. Jeanine Webster, Bryon Wiswell & Floyd Jordan wrongfully misrepresented to her the risk invol

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John J. Kapik & Evelyn Kapik Claimant(s) vs. 88-03213 Prudential-Bache, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimants John J. Kapik & Evelyn Kapik alleged that Respondent Prudential-Bache, Inc. did not look after Claimants' best interest in the management of Claimants' mutual fund account with Respondent. Additionally John

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Anil K. Agarwal, Sudha Agarwal and ) Ansar Khan ) Claimants ) and ) AWARD ) CONSOLIDATED ) Case No. 88-03212 Merrill Lynch Pierce Fenner & Smith and ) and 88-03215 John S. Roberts ) Respondent (s) ) CASE SUMMARY Dr. Ansar W. Khan ("Khan"), Dr. Anil Agarwal and Sudha Agarwal ("Agarwals") (collectively referred to herein as "Claimants") alleged

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Dan Calabria and 99-02484 Tampa, Florida Name of Respondent Franklin/Templeton Distributors, Inc. REPRESENTATION OF PARTIES Dan Calabria ("Claimant") was represented by Allan J. Fedor, Esq. and Franell Fedor, Esq., Fedor & Fedor, Largo, Florida. Franklin/Templeton Distributors, Inc. ("Respondent") was represented by Francis M. Curran, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Klotz, (Claimant) vs. Electronic Trading Group, LLC, (Respondent) and Electronic Trading Group, LLC, (Claimant) vs. Richard Klotz, (Respondent) Case Number: 00-01008(consolidated w/00-01492) Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard Klotz ("Klotz"), hereinafter referred to as "Claimant", appeared pro se. Respondent, Electronic Trading G

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration B e t w e e n ) ) Bernice Baron ) ) Claimant(s) ) ) vs. ) CASE #88-03207 ) Smith, Barney Harris Upham & Co. } AWARD and ) Gregory Newsome ) Respondent(s) CASE SUMMARY Claimant Bernice Baron invested $50,674.74 in a GNMA fund through Respondents Smith Barney and Gregory Newsome. Claimant alleges that she wa

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Shukin Claimant(8) vs. Stuart-Jamea Co., Inc. and Ron Siniscalchi Respondent(s) NOTICE OF ARBITRATION AWARD 88-03189 CASE SUMMARY Claimant{s) Michael Shukin alleged that Respondent(s) Stuart-James Co., Inc. and Ron Siniscalchi misrepresented material facts as to investments with Respondent. Respondent(s) deny Claimant's allegations.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between A. G. EDWARDS & SONS, INC., vs. MATTHEW HIRSCHHORN, Claimant, ) Case #88-03188 Respondent. Award Heard before the member of the Arbitration Panel: Arnold Y. Steinberg, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on October 13, 1989. The hearing was conducted in Fort Lauderdale, Florida on September 11, October 5 and 31, 1989 w

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ronald D. Peikes Claimant(s) NOTICE OF ARBITRATION AWARD vs. 88-03187 Individual's Securities Ltd (f/k/a Hamilton Grant 6 Co., Inc.) Respondent(s) i , _i CASE SUMMARY Claimant(s) Ronald D. Peikes alleged that Respondent(s) Individual's Securities Ltd (f/k/a Hamilton Grant & Co., Inc.) committed unauthorized trades in Claimant's acc