Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marilyn Nevard Herrmann (Claimant) vs. Bear Stearns & Co., Inc. (Respondent) Case Number: 05-05549 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Marilyn Nevard Herrmann hereinafter referred to as "Claimant": Leslie Trager, Esq., Morley & Trager, New York, NY. Respondent Bear Stearns & Co., Inc. hereinafter referred

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Balta, Julia Balta and Marjorie Balta (Claimants) vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and John F. Sorensen (Respondents) Case Number: 05-05026 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants James Balta, Julia Balta and Marjorie Balta hereinafter col

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey R. Chicola (Claimant) v. Gregory Goldstein, Sammi Goldstein, Steven Cohen, and Marquis Financials Services, Inc. (Respondents) v. Computer Clearing Services, Inc. (Third-Party Respondent). Case Number: 05-04245 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members and Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimant Je

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jane E. Pattison and Richard A. Pattison (Claimants) vs. Commonwealth Financial Network and Mark S. Singer (Respondents) Case Number: 05-03764 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Jane E. Pattison ("J. Pattison") and Richard A. Pattison ("R. Pattison") hereinafter colle

Arbitration National Association of Securities Dealers, Inc. 425 California St.. Rm. 1400 San Francisco. CA 94104 (415) 781-3343 FAX: (415) 362-9946 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Name of Claimant (s) Eletra Casadei, Trustee et al. 88-02290 Name of Res'londent (s \ Shearson Lehman Hutton, Inc. Stan Zicklin This case was filed with the National Association

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) GOLDEN BELT SAVINGS AND LOAN ASSOC. ) Claimant(s) ) and ) ) CASE NO. 88-02288 METRO SEC., INC., GLICKENHAUS-LTG & CO., ) AND WESTCAP GOVERNMENT SEC., INC. ) Respondent (s) ) CASE SUMMARY Golden Belt Savings and Loan Association ("Golden Belt") alleged as follows: 1. Golden Belt advised the president of Metro Securities, Inc. ("Metro")

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Dr. Steven A. Tilliss and George R. Bellinger, Jr. Claimant(s) vs. 88-2285 George Huff Respondent(s) NOTICE OF ARBITRATION AWARD 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 signed by the claimants on

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Richard Queirolo Claimant ) vs. ) Case #88-02284 Award Shearson Lehman Brothers, Inc. Respondent On May 15, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant on July 12, 1988, and by Respondent on February 27, 1989. The arbitration panel, having considered th

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James 6. and Marie B. Goodman Claimants vs. AWARD #88-02278 Smith Barney, Harris, Upham & Co., Inc. Clarence Jeter, III Respondents Case Summary Claimants alleged that Respondents failed to follow Claimants' instructions by entering a "market not held" order on common stock in Claimants' account resulting in losses to the Claimants. Respondents ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lawrence Rabideau Claimant(s) vs. North American Investment Corp. vs. James Greenbaum Respondent(s) AWARD 88-02271 The undersigned, having been 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 parties on June 24, 1988 and October 11