Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS National Association ot Securities Dealers. inc. NASD Financial Center 33 Whitehall Street New York. New York 10004 In the Hatter of the Arbitration Between Name of Elie J. Baghdady vs Name of Resppndents Merrill Lynch, Pierce, Fenner & Smith Larry D. Sadler John" voll 88-01801 Heard before: Philip M. Giordano Julien F. Begien W.j. Turne

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Nancy Barrie Claimant vs. Gruntal & Co. and Louis Hagerty Respondents Case #88-01799 AWARD CASE SUMMARY Claimant alleged that Respondents made an unauthorized purchase of 3,000 shares of common stock for her account and failed to correct the error when she brought the alleged unauthorized purchase to their attention. Respondent Gruntal & Co. mai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dr. Leonard J- Corwin Claimant vs. ) Case 4(88-01797 ) AWARD Copeland Securities, Inc. and Charles Tassanari Respondents On January 27th, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant, Or. Leonard J. Corwin on May 27th, 1988, and by Respondent, Copeland

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Meyer 6 Sylvia Wallen Claimant(a) vs. 88-01796 Charles Schwab & Co. Respondent(s) AWARD The Arbitrator, Thomas J. Hawekotte, Esq., 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 20, 1988 and December 5, 1988, res pecti

Award NASD In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-03278 Rick G. Bannon Names of Respondents Hearing Site: Tampa, Florida Raymond James & Associates, Inc., a Florida Corporation Steven Koch REPRESENTATION OF PARTIES For Rick G. Bannon, hereinafter referred to as "Claimant": Eric E, Ludin, Esq., Piper, Ludin, Howie & Werner, P.A. St. Petersburg, Florida. For Respondent Raymond James & Associates, Inc. ("RJ&A

N.A.S.D. AWARD NATIQNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Estate of Lindsey Owens Saras Claimant and A.G. Edwards & Sons, Inc. and S. Gray Jackson, Jr. Respondents and James H. Sams Third-Party Respondent REPRESENTATION OF PARTIES Claimant, Estate of Lindsey Owens Sams was represented by Ralph E. Rood, Esq. of Gohlson, Hicks & Nicols, Columbus, Mississippi. Respondent A. 6. Edwards & S

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) HENRY ATTEN, ) Claimant, ) ) Case 188-01783 vs. ) Award ) MERRILL LYNCH, PIERCE, FENNER & SMITH, ) INC., ROBERT A. SAUER and MARTIN H. ) FELDMAN, ) Respondents. } Heard before the members of the Arbitration Panel: Joseph L. Bernstein, Esq. Harry Polansky Anthony S. Paetro On May 10, 1989, the arbitrators heard the controversy bet

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) William P. Spickofsky ) Claimant ) ) AWARD vs. ) ) NASD t 88-01781 Quick & Reilly, Inc ) Respondent ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on June 1, 1988. Claimant alleged Respondent issued an erroneous margin call in his account, which resulted in a forced liquidation of

N.A.S.D. AWASD NATIONAL ASSOCIATION OF SECURITIES DEM£RS In the Matter of the Arbitration Between of Claimant/a > Irwin M. Potash M.D. P.A. Def .Ben. Plan FINAL ORDER CASE #88-01780 B.F. Button 6 Company, Inc. Stephen Phillip Whitman Heard before the renters of the Arbitration Panel: Philip F. Ludovici, Esq. Andy Fernandez Andrew Bartf ay this claim was filed with the National Association of Securities Dealers, Inc. ("NASD") on M

lot NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ROBERT T. WILLIAMSON, ) Claimant, ) ) Case J88-01779 vs. ) Award ) MERRILL LYNCH, PIERCE, FENNER AND SMITH, ) INC. and HARRY C. TREBOR, . ) Respondents. ) ) Heard before the members of the Arbitration Panel: Professor Stephen K. Halpert Dr. Sherman R. Kaplan Robert Weinstein CASE SUMMARY This claim was filed with the NASD,