NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Laurence A. Nighosian Claimant(s) vs. 88-03873 Robert Thomas Securities, Inc. Respondent. (s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Laurence A. Nighosian alleged that Respondent(s) Robert Thomas Securities, Inc. charged excessive commissions on certain trades. Respondent(s) denied all claims. RELIEF REQUESTED Claimant(s) Lau

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Craig G. Goodman Claimant(s) vs. 88-03869 Rhonda Ford and Oberweis Securities Respondent: (s) AWARD 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 Claimant on December 19, 1988 and not by the Resp

NATIONAL ASSOCIATION or SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ROCCO PAGLIARULO and STEVE TEMPKIH, vs. PAUL KEILEY. JOE D'ANGELO and ANTHONY STOISICH, Claimants, Respondents. Case /88-03850 Award Heard before the member of the Arbitration Panel; Richard Reeves, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on December 16, 1988. The hearing was conducted in Tampa, Florida on December 12,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Albert G. Martin Margit B. Martin VS. Blinder Robinson & Co., Inc. Claimants Respondent AWARD CASE # 88-03847 SUWARY OF ISSUES This case was filed with the NASD on December 16, 1988. Claimants alleged Respondent misrepresented the highly speculative nature of the common stock of ISYS Technology and its unsuitability for purchase by Claimants. Respondent alleged that no misrepresentatio

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Easter Kramer Group Securities, Inc. Claimant vs. Tyrone Hubbard Resoondent Case #88-03844 AWARD CASE SUWARY This proceeding was commenced initially on December 16, 1988 by Claimant Easter Kramer Group Securities, Inc. ("Easter Kramer") against Respondent Tyrone Hubbard ("Hubbard") ana arises out of certain transaction executed on October 7, 198

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard L. Goldman, (Claimant) vs. Piper Jaffray, Inc. and Thomas L. Monson (Respondent). Case Number: 99-02415 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Richard Goldman, ("Claimant"): Warren B. Bosch, Esq.: Attorney at Law, Denver, Co. Respondent, Piper Jaffray, Inc. and Thomas L. Monson ("Respondents"): Brian S. Heiberg, Esq., Piper Jaffray, Inc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nathan S. Rosenfeld and Evelyn Rosenfeld Claimant(s) vs. 88-03919 Drexel Burnham Lambert Inc. and Larry Wolfe Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Nathan S. Rosenfeld and Evelyn Rosenfeld alleged that Respondent^) Drexel Burnham Lambert Inc. and Larry Wolfe made unsuitable investments. Respondent(s) maintain that

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Burton J. Udelson and Shirley B. Udelson Claimant(a) vs. 88-03917 Fidelity Brokerage Services Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Burton J. Udelson and Shirley B. Udelson alleged that Respondent(s) Fidelity Brokerage Services would not waive a two percent purchase fee which the Claimant was unaware of. Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Henry Weisker, Trustee, Margaret Ryan Weisker Trust et al Claimant(s) vs. 88-03913 Daniel Owen Palmer Respondent(s) NOTICE OF ARBITRATION AHARD CASE SUMMARY Claimant (3) Charles Henry Weisker, Trustee, Margaret Ryan Weisker Trust et al alleged that Respondent ( s ) Daniel Owen Palmer made unregistered sales of securities. Respondent (

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between RICHARD RICE Claimant and ) ) CASE NO. 88-03908 GENERAL SECURITIES CORPORATION and BILL BAUM Respondents CASE SUMMARY In a claim filed with the NASD on or about December 12, 1988, Claimant Richard Rice alleged that Respondent Bill Baum, a registered representative employed by Respondent General Securities Corporation liquidated a short posit