AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Theodore A. Hasson and Case Number: 04-08380 Hearing Site: Houston, Texas Names of Respondents Western Reserve Life Assurance Co., Intersecurities, Inc., Belin Joint Life Insurance Trust, Bruce Belin, Mary Belin and Greg Belin NATURE OF DISPUTE Associated Person v. Member Firm and Non-Members REPRESENTATION OF PARTIES Theodore A. Hasson ("

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Dominic A. Cifelli, Sr. Mildred V. Cifelli Case No. 99-02377 Names of Respondents Palm State Equities, Inc. Timothy D. Lucas David Alterman Alliance Capital Management Corp. Steven E. Hutek Southern Capital Securities, Inc. REPRESENTATION OF PARTIES For Dominic A. Cifelli and Mildred V. Cifelli, hereinafter collectively referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gail J. Spicuzza, Claimant v. Jerome E. Liss, Jeffrey W. Dean, John R. Susnik, and Liss Financial Services, Respondents Jerome E. Liss, Jeffrey W. Dean, and John R. Susnik, Third Party Claimants v. Edward and Diane Godec, Third Party Respondents Case Number: 04-08249 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Persons Nature of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Quest Capital Strategies, Inc. Claimant(s) vs. Christopher S. Kim and Young Ja Kim Respondent(s) AWARD 88-03698 The Arbitrator/ Randall C. Schakner, 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 November 18, 1988;

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lu Lu Tsai, M.D. and Chow Ming Lin, vs. Timothy O'Keefe and Stuart James Company, Inc., Claimants ) ) ) Respondents ) ) Case 188-03697 Award CASE SUMMARY Claimant alleges that her broker, Timothy O'Keefe, the registered representative of Stuart James Company, Inc., misrepresented the price and performance of Wine Society of Ameri

Region .S L* Volame I , Number, NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Donald D. and Sharon L. Christensen, ) ) Claimants, ) AWARD ) vs. ) ) Case No. 88-03693 Tom Sawyers and Blinder Robinson & Co., ) jointly and severally, ) ) Respondents. ) SUMMARY OF ISSUES This case was filed on November 29, 1988 claiming that Respondent Sawyers made misrepresentations to

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kyong N. Kim & Soon K. Kim Claimant(a) vs. 88-03689 "Olde Discount Customer Services Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Kyong N. Kim & Soon K. Kim alleged that Respondent(s) Olde Discount Customer Services failed to execute in a timely manner an oral request of transfer of securities as ordered by the Claimants.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Earl Campin Claimant(s) vs. First Interstate Securities Now Pacific Rim Securities Glenn Ross and Russell Venable Respondent(s) AWARD 88-03687 The Arbitrator, Gerald Thomas Grady, Jr., selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration s

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ilya Lyachovsky Claimant(s) vs. 88-03686 Engler-Budd & Company & Alex Bernstein Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Ilya Lyachovsky alleged that Respondent Engler-Budd & Company and Alex Bernstein wrongly invested her funds in a high risk mining venture when she requested a minimum risk IRA investment. Neither Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James W. Korman and Barbara A. Korman Claimant(s) vs. 88-03685 Richard Warren and Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) James W. Korman and Barbara A. Korman alleged that Respondent(s) Richard Warren and Blinder, Robinson & Co., Inc. committed unauthorized transactions with respect