NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) K. Karl Showrai Claimant ) vs. ) Charles Schwab & Co., Inc. r Respondent ) AWARD CASE NO. 88-03767 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on December 5, 1988. Claimant K. Karl Showrai claims that he made certain buy and sell orders with Respondent Charles Schwab & Co., Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ROBERT PEPE, Claimant, vs. DEAN WITTER REYNOLDS and JOHN BABITSKAS, Respondents. Case J88-03762 Award Heard before the members of the Arbitration Panel: Mark Perry, Esq. Michael A. Coco Douglas Delano;, Jr. CASE SUMMARY This claim was filed with the NASD, Inc. on December 8, 1988. The hearing was conducted in Fort Lauderdale, Florida

NATIONAL ASSOCIATION Of SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) RONALD E. ERICKSON ) ) Claimant ) v. ) CASE NO. 88-03842 ) AWARD RAFCO FINANCIAL CORPORATION, ) f.n.a. PITTOCK FINANCIAL CORP. ) ) Respondent ) On May 18, 1989, in Minneapolis, Minnesota, the undersigned arbitrator heard the controversy between the parties as set forth in submissions to arbitration signed on December 7, 1988 by the Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William B. Storch, Jr. Claimant(s) vs. 88-03831 Shearson Lehman Hutton and Marty Sadkin Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant William B. Storch, Jr. alleged that Respondents Shearson Lehman Hutton and Marty Sadkin provided false and misleading information with respect to Claimant Investment with Respondents. denies Cl

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-02426 Empire Financial Group, Claimant vs. John McClarin, Respondents. ATTORNEYS: Claimant Empire Financial Group, Inc. ("Claimant"), appeared through its Compliance Officer, Randy Cupples, Longwood, FL. Respondent, John McClarin, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: May 26, 1999 CASE SUMMARY: Claimant alleged that Respondent knowingly and fraudule

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Patricia J. Shampo Claimant(s) vs. Carl Birkelbach and Birkelbach Investment Securities Respondent(s) NOTICE OF ARBITRATION AWARD 88-03826 CASE SUMMARY Claimant(s) Patricia J. Shampo alleged that Respondents) Carl Birkelbach and Birkelbach Investment Securities made unauthorized trades and was "churning" her account. Respondent(s) maintain tha

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David S. Gelb Claimant vs. AWARD #88-03823 Bear, Stearns & Co., Inc. Kenneth S. Ispass Robert Abbott Respondents Case Summary Claimant David S. Gelb (hereinafter "Claimant") alleged that when his account was transferred to Respondent Bear, Stearns & Co., Inc. (hereinafter "Bear Stearns") his account transferred to Respondent Robert Abbott (her

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Will M. Larkin Claimant(s) vs. 88-03821 Shearson Lehman Hutton Respondents) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Will M. Larkin alleged that Respondent(s) Shearson Lehman Hutton made misrepresentation with respect to an investment. Respondent (s) maintains that they are not responsible for any losses incurred by the Claimant. R

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nino P. Cerniglia Claimant vs. AWARD #88-03813 Merrill Lynch, Pierce, Fenner S Smith, Inc. Respondent Case Summary Claimant Nino P. Cerniglia alleged that Respondent Merrill Lynch, Pierce. Fenner & Smith, Inc. failed to execute orders to sell common stock on October 19, 1987, misrepresented the amount of commission dHscounts that he would receive and

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert S. Presto Claimant(s) vs. Atlanta Securities & Investments, Inc. and Beverly N. Puckett Respondents) NOTICE OP ARBITRATION AWARD 88-03879 CASE SUMMARY Claimant Bonnie HcOermott alleged that Respondents Atlanta Securities & Investments Inc. and Beverly N. Puckett provided erroneous information concerning Claimant's account. RELIEF REQUES