NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wilbert Fong Claimant(s) vs. AWARD 89-00019 Olde Discount Corp. and Richard Malone Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) Wilbert Fong alleged that Respondent(s) Olde Discount Corp. and Richard Malone did not automatically exercise Claimant's options pursuant to Option Account Financial Questionnaire and Agreement. Respon

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Vernon and Patricia Korkus Claimant(s) vs. 89-00018 Fidelity Investments and Edward C. Johnson III Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Vernon and Patricia Korkus alleged that Respondent(s) Fidelity Investments and Edward C. Johnson III delayed in acting on a stop loss order. Respondent(s) maintain that the order was

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wall Street Clearing Co. Claimant(s) vs. 89-00016 Gary Broxmeyer and Robin Davidson JTWROS Respondents) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Wall Street Clearing Co. alleged that Respondent(s) Gary Broxmeyer and Robin Davidson JTWROS failed to pay Claimant the unsecured debit balance in Respondents' margin account. Respondent(s

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between r Eva Eisenstein, TTEE for t.hc Eiccr.ctcin Family Trust riaimant(s) vs. 89-00011 PaineWebber, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Eva Eisenstein, TTEE for the Eisenstein Family Trust alleged that Respondent(s) PaineWebber, Inc. mishandled her account. Respondent(s) denied all allegations. RELIEF REQUEST

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) NATHAN BRODIE AND BRODIES, INC. ) ) Claimants ) and ) CASE NO. 89-00008 ) PAINEWEBBER INCORPORATED AND SCOTT SMITH ) Respondents ) CASE SUMMARY In a claim filed with the NASD on January 6, 1989, Claimants Nathan Brodie and Brodies, Inc. ("Claimants") alleged that Respondents PaineWebber, Incorporated and Scott Smith ("Respondents") made

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) tHAKLL'j AND KAKtN VUN HUKitNAU / j Claimant(s) ) •id ) } CASE NO. 59-00005 BLINDER, ROBINSON & CO. ) . ) Respondent ) CASE SUMMARY In a claim filed on or about April 11, 1989, the Claimant's alleged, that the Respondent recommended the purchase of restricted stock in a company which the Respondent would be bringing public in the futu

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Daniel Schofield Claimant ) ) vs. ) AWARD ) Atlanta-One Corporation Respondent } CASE NO. 88-03990 SUMMARY OF ISSUES Claimant alleged Respondent's broker misrepresented the risks of investing in foreign currency options by stating Respondent had a computer program which predicted with 70% accuracy the movement of foreign currencies. Claimant fur

N.A.S.D. AWARD NWICNRL ASSOCIXnON OF SWULUUTlfcl! DEALERS In the Matter o£ the Arbitration. Between Satya R. Sihder, Individually; Satya R. Sihder abd Sukla Sifcder; Satya R. Sikder as custorHan for 86-03986 O Hamiltcn, Grant & Co., Inc. Individual Securities Ltd. Mark G. Ross Ptar Claimant: Robert S, Moraxf, Esq. of Sctwartz, Tdbia & stanziale in Mantclair, New Jersey. Per Respondent hSark G. Ross: George H. T.lnrte, Esq. of White P

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Roger Woo Claimants ) Loretta Woo ) vs. ) CASE NO. 88-03985 Drexel Burnham Lambert, Inc. Respondents John Dudzik Heard before: Martha K. Cunningham Barbara A. Brooks Andrew K. Leh SUMMARY OF ISSUES This case was filed on December 30, 1988. Claimants alleged that Respondents churned their account, bought unsuitable securities, engaged in unau

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02463 Prudential Securities Incorporated, claimant vs. Broadway Associates, Inc., and Dan Garber, respondents. ATTORNEYS: For Claimant Prudential Securities Incorporated ("Claimant"), Ralph S. Blascovich, Esq., First Vice President and Associate General Counsel for Prudential Securities Incorporated, San Francisco, California. For Respondent Broadway Assoc