NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) CHARLES SCHWAB & CO., INC. ) Claimant(s) ) and ) ) CASE NO. 88-02592 GRANT DAVIS, JR. ) AWARD Respondent(s) ) On June 9, 1989, in Denver, Colorado, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on July 25, 1988 by Richard 5. Dangerfield on behalf of Charles Schwab & Co., Inc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Merrill Lynch, Pierce, Claimant ) Fenner & Smith ) AWARD ) vs. ) CASE NO. 88-02590 ) Roohollah Salari, M.D. Respondent ) SUT-KARY OF ISSUES This case was filed on July 8, 1988 by Claimant Merrill Lynch, Pierce, Fenner & Smith (Merrill) and an Answer and Cross Claim was filed by Roohollah Salari, M.D. (Dr. Salari) on October 12, 1988. Claiman

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William R. Nance and Sharon C, Nance, Claimants v. Frederick Jay Hentschel, III, Marcus Anthony Ramos and Michael Scott Weiner, Respondents Case Number: 99-02341 Hearing Site: Seattle, WA REPRESENTATION OF PARTIES For Claimants: For Respondent Frederick Jay Hentschel, III: For Marcus Anthony Ramos: For Respondent Michael Scott Weiner: Katharine Hendricks, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David O'Kelley, Claimant v. Continental Broker-Dealer Corp., Respondent Case Number: 00-01002 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, David O'Kelley, hereinafter referred to as "Claimant" was represented by W. W. McNeal, Esq. of McNeal, Garner & Lippe PLLC, Lockhart, Texas. Respondent Continental Broker Dealer Corp. hereinafter referred to as "Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) GEORGE i JEAN CUMMINS, TRUSTEES ) Claimants ) ) Case 188-02583 vs. ) Award ) FIRST JERSEY SECURITIES, INC., } ROBERT E. BRENNAN and ) JAMES MAKELY ) Respondents. ) Heard before the members of the Arbitration Panel: Joseph L. Bernstein, Esq. Ms. Virginia Rhyne Mr. Douglas Delanoy Jr. CASE SUMMARY This claim was filed with the

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Among Abraham Kanter Claimant vs. PaineWebber, Inc. Respondent Case #88-02580 Case Summary In the Statement of Claim received by the National Association of Securities Dealers, Inc. on August 15, 1988 Claimant, Abraham Kanter alleged that Respondent, PaineWebber, Inc. fraudulently misrepresented to him the risk involved prior to Claimants purchase of four bonds issue

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In tn? natter of the Arbitration Between ) ) SHIRLEY M. AND JAMES F. KOPET ) ) Claimant(s) ) and ) ) CASE NO. 88-02687 MERRILL LYNCH, PIERCE, FENMER & ) SMITH, INC. ) Respondent (s) ) CASE SUMMARY Shirley M. Kopet and James F. Kopet ("Claimants") alleged that Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") failed to properly execute their limit order for the purchase

M- V < NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of Arbitration Between ELIAS I. FRANSES and NIEN-HHA LINDA WANG Claimants v. NASD NO. 88-02685 ELIYAHUE M. ROUSSOS and EMR ENTERPRISES Respondents ) CASE SUWARY In a claim filed on or about August 23, 1988, the Claimants alleged that the Respondents 1) made unauthorized transactions, 2) induced a stock purchase by guaranteeing the sales price and 3) induced

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Karina Dahmen Claimant ) vs. ) CASE NO. 88-02683 ) Dillon Securities, Inc. Respondent ) SUWARY OF ISSUES Claimant filed this claim with the NASD on August 23, 1988 and alleged that the low-priced gold and mining securities recommended by a broker employed by Respondent were unsuitable and were sold to her in violation of industry practices, and stat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Alan W. Kapilow Claimant ) vs. ) AWARD PaineWebber, Inc., Joel Schwartz Respondents ) CASE NO. 88-02678 and Robert Donate ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on August 23, 1988. Claimant alleged that Respondents recommended unsuitable investments in equity and index options and misrepres