N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between. Mane of Claimant Donna R. Kelsey 88-03727 Lynch, Pierce, Fenner & Smith, Inc. Merrill Lynch Money Markets, Inc. Merrill Lynch and CO. In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about December 12, 1988, Donna R. Kelsey ("Claimant") alleged that Henri B. Moreault ("Moreault") an account executive em

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of_£laiigant ( s \ George B. Fisher et al. 88-03726 Name of Respondent I s ] Merrill Lynch, Pierce, Fenner & Smith J3VOIHO - NC -' Merrill Lynch Money Markets, Inc. Merrill Lynch and Conpany ^ 06619 MJN CASE SUMMARY George B. Fisher, IV ("Fisher"), the Estate of Ellen R. Fisher, and Omnisports, a partnership d/b/a the Snug Conpa

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Daryoush Javaheri, Claimant v. Morgan Stanley Dean Witter and Artemis Riazi, Respondents. Case Number: 99-02371 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: George M. Gavalas, Esq. Law Offices of George Gavalas Mineola, New York For Respondents: Wendy R. Robinson, Esq. Morgan Stanley Dean Witter San Francisco, California CASE INFORMATIO

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Albert Cooperman Claimant(s) vs. Kennedy, Cabot & Co., Inc. Respondent(s) AWARD 88-03723 The undersigned, having been selected to review and determine a matter in controversy between the above-mentioned Claimant and RespondenLs, set forth in a submission to arbitration signed by the parties on June 27, 1987 and February 1, 1989, respectively; And, tha

MAR 1 b RF NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Martha Pugh Claimant vs. Smith Barney Harris Upham & Co., Inc. Charles Borbone Respondents AWARD #88-03719 Case Summary Claimant submitted the above captioned matter for arbitration on March 17, 1989. In the claim she alleged that Respondents engaged in unauthorized trading of unsuitable securities and excessive trading for the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In Che Matter of the Arbitration Between ) ) Helen L. Maloney, ) Claimant, } ) Case #88-03718 vs . ) Award ) Shear son Lehman Button, ) Respondent. ) Heard before the members of the Arbitration Panel: Myron Dunay, Esq. Mr. Norris L. Friedlander Mr. S. Richard Savage CASE SUMMARY This claim was filed with the NASD, Inc. on December 2, 1988. The hearing was conducted in Fort

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of the Arbitration Between Les Kaplan Cariye of California, Inc. Less Kaplan, Trustee Claimants vs. Bekhor Securities and Jonathan Bekhor Respondents ORDER OF ARBITRATORS NASD :50. 88-03714 REPRESENTATION Claimants were represented by Frank Lee Crist, Jr., Esq. of the firm Crist & Dusenbery and respondents were represented by Don A. Proudfoot, Jr., Esq. of the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Murray L. Lobe! vs. Claimant Herzog Heine Geduld, Inc. Brown and Company Securities Corporation Respondents CASE #88-03710 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 7, 1988, Claimant Murray L. Lobel alleged Respondent Brown and Company Securities Corporation as broker and Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) RUSSELL S. KOSS, ) Claimant. ) ) Case 188-03709 vs. ) Award ) DEAN WITTER REYNOLDS. INC., ) Respondent. ) ) Heard before the members of the Arbitration Panel: John P. Cullem, Esq. Mr. Henry Sanchez Jr., Esq. Mr. Ralph Feith CASE SUMMARY This claim was filed with the NASD, Inc. on December 1, 1988. The hearing was conducted in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Roy S. Moore, Jr., Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case #88-03708 Award CASE SUMMARY Claimant filed the claim on November 30, 1988. In the claim, Claimant alleged that Respondent mishandled his Basic Keogh Account by liquidating 10,904 shares of Dreyfus Fund, Inc. rather than merely transferring his shares fr