NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between MILTON A. GREEN JO ANN GREEN Claimants vs. ) Case #88-02329 Award PRUDENT I AL-BACHE SECURITIES Respondent On April 14, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants, Milton and Jo Ann Green on June 30, 1988 and by Respondent, Prudential-Bache Securities

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Borkey Kimberly Shaker Claimants vs. AWARD #88-02328 188-02922 01de Discount Stockbrokers Dale Maruster Respondents Case Summary Claimant Michael Borkey ("Claimant") was trading stock for Kimberly Shaker and dealt with brokers from Olde Discount Corporation ("Olde") alleged that Respondent Dale Maruster ("Maruster") failed to properly

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04027 John Dermot Sullivan, Claimant vs. Terry G. Stavropoulos, Respondent. ATTORNEYS: Claimant, John Dermot Sullivan, ("Claimant"), appeared Pro Se., Perth, Western Australia, Australia Respondent, Terry G. Stavropoulos, ("Respondent"), appeared Pro Se., Syosset, NY. DATE FILED: September 1, 1999 CASE SUMMARY: Claimant alleged that he established the account after Respondent's col

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Nicholas M. Bianco and Mary Bianco, Claimants Case #88-02323 vs. ) Award ) Advest Securities, ) Respondent ) CASE SUMMARY Claimants allege that Nicholas Bianco informed his broker, Robert King, the registered representative with Advest Securities, that his investment objective was to obtain a safe, guaranteed monthly income from his investment

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mary Lou Willdigg ) Claimant ) and AWARD James L. Fainter 88-02315 Consolidated Investment Services, Inc. Respondents ) CASE SUMMARY Mary Lou Hilldigg ("Claimant") invested approximately $70,000, generated from the sale of her residence, with Consolidated Investment Services, Inc. and James L. Fainter (collectively referred to herein as "Respondents

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Dean Witter Reynolds, Inc. Claimant ) ) Case #88-02314 vs. ) Award Bradley E. Kerr Respondent ) The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in a submission to arbitration signed by the % Claimant on June 30, 1988 but not signed by the Respondent a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Carlo DiBello ) Claimant ) ) Case #88-02310 vs. ) Award W.T. Cabe & Co., Inc. Bertram Aber Respondents CASE SUMMARY Claimant alleges Respondents failed to execute his sell orders for 200 shares of General Electric Co. and 100 shares of Digital Equipment Corp. Respondents maintain the sell orders were placed with Morgan, Olmstead, Kennedy and Gardn

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sham Pirnia Virginia Pirnia vs. Claimants Case *88-02309 Award Charles Schwab & Co., Inc. Guy Bryant Mike Babul sky Respondents On May 2, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants, Sham and Virginia Pirnia, on July 7, 1988, and by Respondent, Cha

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03261 Donna Fryburg, (Claimant) vs. Citigroup Global Markets, Inc., (Respondent) ATTORNEYS: ~"~~ —— ___ Claimant appeared pro se, Eugene, OR. For Respondent appeared in-house counsel Rebecca J. Nelson, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: July 4, 2006 CASE SUMMARY: Claimant alleged that Respondent failed to properly advise her on investments in her a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03039 Christiana Lusher, (Claimant) vs. Roland Austin Jacobus III, (Respondent) ATTORNEYS: Claimant appeared pro se, Palatine, IL. For Respondent appeared Citigroup Global Markets, Inc.'s in-house counsel, Lydia R. Zaidman, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Associated Person DATE FILED: June 22, 2006 CASE SUMMARY: Claimant alleged that Respondent breach his fiduciar