NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Dynocite Ltd., ) Claimant ) Case 188-03974 vs. ) Award Merrill Lynch, Pierce, Fenner & Smith, Inc., ) Respondent CASE SUMMARY Claimant, Dynocite Ltd., alleges that Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., failed to properly execute its order of October 20, 1987, to sell XMZWF November 1987/430 puts at 45 or better. Claimant also allege

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lisa Templeton Claimant(s) vs. AWARD 88-03969 Otra Clearing Inc. and Capital Securities, Inc Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) Lisa Templeton alleged that Respondent(s) Otra Clearing Inc. and Capital Securities, Inc made an illegal trade. Respondent(s) deny all allegations of wrong doing. RELIEF REQUESTED Claiman

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gene Koscinski Claimant(s) vs. AWARD 88-03967 Kennedy Cabot & Co., Inc. Respondent(s} The Arbitrator, George R. Freund, 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 December 14, 1988 and February 21, 1989, respectively; A

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James A. Agostini Claimant(s) vs. 88-03965 Paul J. Montessoro, Dean Dierks, Merrill Lynch, Pierce, Fenner & Smith, Inc. and Ron Patterson Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) James A. Agostini alleged that Respondent(s) Paul J. Montessoro, Dean Dierks, Merrill Lynch, Pierce, Fenner & Smith, Inc. and Ron Patter

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Milton M. & Ruth J. Sperber Claimant(s) vs. Gliksroan Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-03961 CASE SUMMARY Claimant(s) Milton M. & Ruth J. Sperber alleged that Respondent(s) Gliksman Securities, Inc. made trades that were unsuitable and failed to execute trades that were specifically requested. Respondent (s) maintain t

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Roger Gay Smith Claimant(s) vs. 88-03960 J.W. Gant & Associates, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant alleges Respondent failed to buy an additional 500 shares of MCR Capital as ordered but instead sold Claimant's existing 500 shares. Respondent defends on the basis that it has re-purchased the 500 shares erroneousl

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John L. & Betty J. Korsberg and Mary L & Gerald Remily Claimant(s) vs. The Illinois Company, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-03959 CASE SUMMARY Claimant John L. & Betty J. Korsberg and Mary L. & Gerald Remily alleged that Respondent The Illinois Company, Inc. failed to execute their sell order in a timely manner. Additionally, th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02575 James M. Tarsy Names of the Respondents Hearing Site: Tampa, Florida Bear, Stearns & Co., Inc. James Michael Hubbert Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant James M. Tarsy ("Tarsy") appeared pro se. For Bear, Stearns & Co., Inc. ("Bear Stearns") and James Mich

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-03707 William and Suzanne Keller (consolidated with 05-03610 and 05-03619) Suzan and Carmen Latona Names of the Respondents Hearing Site: Atlanta, Georgia MidSouth Capital, Inc. Scott M. Zimmerman Mark David Hill David Alan Blume John Denny Margeson, Jr. Melanie Proctor Megenity John Baron, Jr. Jean Marie Baun

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02462 Jane D. Keeling Revocable Trust, claimant vs. BOSC, Inc., respondent. ATTORNEYS: Claimant Jane D. Keeling Revocable Trust ("Claimant") appeared Pro Se., Enid, OK. Respondent BOSC, Inc. ("Respondent") appeared through its Senior Vice President, Scott B. Grauer, Tulsa, OK. DATE FILED: 05/27/99 CASE SUMMARY: Claimant alleged that on April 12, 1999 Respo