NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Raymond Jallow Claimant ) vs. ) AWARD Tidd Lackey & Co., Inc. and Respondents ) CASE NO. 88-01271 Donaldson, Lufkin & Jenrette ) Securities Corp. ) SUWARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 20, 1988. Claimant alleged damages in connection with stock purchased through his securities acc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Raymond Jallow Claimant ) vs. ) AWARD Bear Stearns & Co., Inc. Respondent ) CASE NO. 88-01270 SUWARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 20, 1988. Claimant alleged that on April 21, 1986, he placed a telephone order with Respondent to sell a specified number of shares in five over-the-count

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: UBS PaineWebber Incorporated, (Claimant) vs. Greg D. San Filippo, (Respondent) Case Number: 01-03262 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, UBS PaineWebber Incorporated, hereinafter referred to as "Claimant**: Romaine L. Gardner, Esq., a sole practitioner, Staten Island, NY. Respondent, Greg D. San Filippo, hereinafter referred to as "Respondent**

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George S. Kriegler Joan Kriegler Claimants vs. Edward A. Viner 5 Co., Inc. Fahnestock & Co., Inc. Christopher Carrol Respondents AWARD #88-01261 Case Summary This proceeding was commenced by the Claimants to recover damages from the Respondents arising from losses in Claimants' securities account which the Respondents maintained from approxima

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Pacific Options Claimant vs. ) CASE SUMMARY Charles Schwab & Co., Inc. Respondent ) CASE NO. 88-01258 SUMMARY OF ISSUES Claimant filed this claim with the National Association of Securities Dealers, Inc. ("NASD") on April 19, 1988 and alleged damages as a result of Respondent's actions during the period of October 16 through 23, 1987. Specifically, Claimant all

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Sandra L. Shushan Claimant(s) vs. Douglas Bremen and Co. vs. Hark Zimmerman Respondents) NOTICE OP ARBITRATION AWARD 88-01256 The Arbitrator, Albert A. Rapoport, 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 April 12,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Steven Shoham Claimant vs. Baraban Securities, Inc. Respondent CASE #88-01252 AWARD 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 Steven Shoham on April 4, 1988 and by the Respondent Ba

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William 0. Hammond Sherryl Hammond Claimants Award vs. #88-01247 PaineWebber, Inc. Respondent The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimants and Respondent, set forth in submissions to arbitration signed by the parties on April 13, 1988 and July 14, 1988, respectivel

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among E. Timothy McCullough, Roy E. McCullough, Robert S. McCourt, Ross J. and Carol Ann Nese, Carl J. Kranick, David and Kathleen Graciano, Bruce Shepman, Richard H. and Darleen L. Graciano, Michael M. Michna and Richard H. and Holly M. McCullough, Claimants vs. Shearson Lehman Mutton, Inc. and William R. Martin, Respondents Case 188-01

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kathy M. Wheeler Claimant(s) vs, 88-01396 The Bottom Line Group Respondent(s) AWARD The Arbitrator, John W. Jerak, 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 April 18, 1988 and July 15, 1988, respectively;