NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Clairmont J. Barnes, Jr. Claimant(s) vs. Diversified Equities Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 88-02828 CASE SUMMARY Claimant(s) Clairmont J. Barnes, Jr. alleged that Respondent(s) Diversified Equities Corp. made unauthorized transactions and wrongfully liquidated his account. Respondent(s) did not respond. RELIEF REQUESTED Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) LUTHER LITTLE, JR. and KATHLEEN LITTLE ) ) Claimant(s) ) Case No. 88-02821 and ) ) ERNEST G. MARTIN, III and A.G. EDWARDS ) AND SONS, INC. ) Respondent(s) ) CASE SUMMARY In a claim filed with the NASD on or about September 6, 1988, claimants Luther and Kathleen Little ("the Littles") alleged that the Respondents Ernest G. Martin, III

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) John J. Blair Claimant ) vs. ) CASE NO. 88-02819 Merrill Lynch, Pierce, Respondents ) Fenner and Smith, Inc. ) Gregg A. Phillips ) Heard before: James A. Knowles John 8. Reilley Thomas W. Borden SUWARY OF ISSUES This claim was filed September 6, 1988. Cliamant alleged that Respondents churned his account, bought unsuitable securities, breached

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Timothy A. and Beverly Keller Claimant(s) vs. 88-02817 Diversified Equities Corp. and Profile Investments Corp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Timothy A. and Beverly Keller alleged that Respondent(s) Diversified Equities Corp. and Profile Investments Corp. committed unauthorized trading in Claimants' account hel

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) OBERWEIS SECURITIES, INC. ) ) Claimant ) and } ) CASE NO. 88-02815 PENELOPE & DENA ANDREWS ) ) Respondents ) CASE SUMMARY Oberweis Securities, Inc. ("Claimant") alleges that Penelope and Dena Andrews ("Respondents") made purchases and sales of securities pursuant to several agreements with Claimant. Claimant alleges that every at

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward H. Adams Claimant vs. AWARD #88-02806 Blinder, Robinson & Co., Inc. Paul David Miller Thomas Gregg Holloway Respondents Case Summary Claimant Edward H. Adams alleged that Respondents Blinder, Robinson & Co., Inc., Paul David Miller and Thomas Gregg Holloway placed the Claimant into three unsuitable penny stocks: American Dynamics Corp., Dix

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Charles Schwab & Co., Inc. Claimant(s) ) vs. ) CASE NO. 88-02802 John P. Bui en Respondent(s) ) Heard Before the Members of the Arbitration Panel: Owen G. Smith Robert A. Haveman Robert H. Maloney SUMMARY OF ISSUES The claim was filed September 1, 1988. Claimants alleged that Respondent entered into a Cash Account Agreement and a Margin and Short

Award NASD Regulation, Inc. In the Matter of the Arbitration Between JA Trading Ltd., The Irish News Ltd. (Claimants) vs. Meyers Pollock Robbins, Inc. Michael Ploshnick, Shelli Ploshnick, Sameh E. Sharabi (Respondents) Case No. 99-02384 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, JA Trading Ltd. and The Irish New Ltd., hereinafter collectively referred to as "Claimants": Richard S. Missan, Esq. from the law offices of Richard S

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Alvin Gandal Claimant vs. Daley Securities, Inc. and Wedbush Securities, Inc. Respondents Case #88-02800 Case Summary In the Statement of Claim which was filed with the National Association of Securities Dealers, Inc. on September 1, 1988 the Claimants alleged that Respondents breached the fiduciary duty owed the Claimants by failing to follow instruc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Harold R. Decker. ) Claimant, ) ) Case 188-02799 vs. ) Award Shearson Lehman Hutton, Inc., ) John L. Ballard IV and ) Tom Worley, ) Respondents. ) Heard before the members of the Arbitration Panel: John P. Cullem, Esq. Marvin M. Morgenstern, Esq. Mrs. Sharon S. Pettit CASE SUMMARY This claim was filed with the NASD, Inc. on September 1