NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jason M. & Hilary Schwartz Claimants vs. Case #88-03797 AWARD Profile Investments, Inc. Respondent CASE SUMMARY Claimants alleged that they purchased shares of common stock from Respondent and when later they requested that the stock be sold, discovered the shares had never been purchased for them. Respondent maintained that they never confirmed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anne Ringwalt Corwin Claimant ) vs. Shearson Lehman Hutton, Inc. Respondent AWARD CASE NO. 88-03792 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on December 9, 1988. Claimant alleged her account was churned, that unauthorized trades in common stocks were made in her account, and that the trades

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Ogden 0. & Susanne Pinkerton Claimant(s) ) AWARD vs. ) CASE NO. 88-03785 Terrance Monroe, Boardwalk Capital Respondent(s) ) Corporation & West lake Securities ) SUWARY OF ISSUES This case was filed on December 15, 1988. Claimants alleged misrepresentation of material facts and lack of suitability with regard to investments in Swift Energy and with regard to p

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hancock Techtronics, Inc. Claimant(s) vs 88-03783 Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Hancock Techtronics, Inc. alleged that Respondent(s) Merrill Lynch, Fierce, Fenner & Smith, Inc. negligently mishandled Claimant's account held with Respondent. Respondent(s) denies Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Susan Kasrai and Mojtaba Azimpoup vs. Claimant(s) 88-03781 Stella Martinez and Investors Group Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Susan Kasrai and Mojtaba Azimpoup alleged that Respondent(s) Stella Martinez and Investors Group owe Claimants money due on an account adjustment. Respondent Investors Corp denied

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Vivian A. Anderson, Claimant, -vs- Equitas America LLC, Bernard L. Hemker, Clark F. Colton, Jr., Kenneth D. Warnick, Dennis J. Brown, and Equitas America Holding Company, Inc., Jointly And Severally, Respondents 00-01006 Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Vivian Anderson ("Claimant"): Laurence S. Schultz, Esq., D ri

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donald H. Waugh Claimant(s) vs. Levco Securities and Bob Peckerman Respondent(s) NOTICE OF ARBITRATION AWARD 88-03774 CASE SUMMARY Claimant(s) Donald H. Waugh alleged that Respondent(s) Levco Securities and Bob Peckerman negligently mishandled Claimant's account by failure to execute a sell order in Claimant's account with Respondent. Responde

JAN f 8 RECT3 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant vs. AWARD #88-03766 Eleanor Brandman Respondent Case Summary Claimant alleged that Respondent Eleanor Brandman failed to provide funds in her account to cover an order that Charles Schwab & Co., Inc. executed for 12,500 shares of common stock at the Respondent's request. Based upon Respondent's all

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of the Arbitration Between ) Diane Reed Claimants ) AWARD vs. ) CASE NO. 88-03059 Kenneth Brown ) Brown & Hawk, Inc. ) Fahnestock & Co., Inc. Respondents ) SWMARY OF ISSUES This case was filed on September 30, 1988. Claimant alleged Respondents fraudulently invested her funds in unsuitable, speculative common stocks, bonds and options, failed to disclose the risks of margin

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Gary W. Hametiaux and Judith Hametiaux Claimant(s) vs. 88-03834 Blinder, Robinson & Co., Inc. and Mr. Paul Mabry Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimants Gary W. Hametiaux and Judith Hametiaux alleged that Respondent Blinder, Robinson & Co., Inc. and Mr. Paul Mabry sold to Claimants Blinder International Enterprises, In