NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co. Claimant(s) vs. 88-01330 Melissa Ann Newman Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Charles Schwab & Co. alleged that Respondent (s) Melissa Ann Newman is indebted to Claimant on a book account. Respondent did not defend. RELIEF REQUESTED Claimant(s) Charles Schwab & Co. requested damages of Eig

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Hatter of the Arbitration Between Kathryn A. Dunn Claimant(s) vs. 88-01327 Stoneridge Securities, Inc. and Ronald Wheeler, Sr. Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Kathryn A. Dunn alleged that Respondent(s) Stoneridge Securities, Inc. and Ronald Wheeler, Sr. failed to execute a trade. Respondent(s) did not respond. RELIEF REQUESTED Claimant (s

N.A.S.D. AWARD NATIONAL AC^JCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o Stephen Strachan 88-01325 Name QfFtesppndentjs) North American Investment Corporation CRSE SUMMARY Claimant Stephen Strachan alleged that Respondent North American Investment Corporation fraudulently misrepresented an investment in North American Realty Trust IV property and used Claimant's monies in an unauthorized manner. Responden

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Prudential-Bache Securities, Inc. vs. Claimant(s) William and Lucille Lawrence Respondent(s) NOTICE OF ARBITRATION AWARD 88-01320 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

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nam? n f fo* ripimanf CaseJ^ufflhec: 01-03254 UBS PaineWebber Incorporated Mark A. Gensch T?f < ; p nnf 1fpt H^flrins ^itf Houston, Texas O Claimant UBS PaineWebber, Incorporated, hereinafter referred to as "Claimant": Lisa A. Catalano, Esq., Davidson, Manchel & Brennan, LLP. 9 located in Northvale, New Jersey. Respondent, Mark A. Gensch, herei

NATIONAL ASSOCIATION OF SECURITIES DEALERS I.; the Matter of the Arbitration Between Andrew A. Allison Claimant(s) vs. Fidelity Investments Respondent(s) NOTICE OF ARBITRATION AWARD 88-01319 CASK SUMMARY Claimant(s) Andrew A. Allison alleged that Respondents) Fidelity Investments committed unauthorized transactions and failed to execute an order on a timely basis. Respondent (s) denies Claimant's allegations. RELIEF RBQQE

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant(s) vs. -83-01318 Steve Koonin Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dean Witter Reynolds, Inc. alleged that Respondent(s) Steve Koonin owes the Claimant the debit balance held in Respondent options account. Respondents) denies Claimant's allegations. RELIEF REQUESTED Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) K. LAL and SUNDERSHAN SABHARWAL ) Claimants ) v. ) NASD NO. 88-01314 WALL STREET CLEARING CO., WALL STREET ) FINANCIAL, INC., RAGMAVA MANDAVA } Respondents) CASE SUMMARY In a claim filed with the NASD on April 25, 1988, an amended statement of claim dated December 22, 1988 and a second amended statement of claim filed with the NASD on February 9, 19

AfbHnttoo * » ^ „ «««« N.A.S.D. AWARD Seeuritiea Oealera. inc. NASD Financial Center 33 Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DEALERS N »* y ork. New York 10004 In the Matter of the Arbitration Between * Name of Claimants; Leon Perahia and Florence Perahia 88-01309 Cowen & Company Viceroy International Securities Corp. Carl Caserta Robert J. Onesti I For Claimants: Lawrence Geiber, Esq. of Be

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of the Arbitration Between ) Marie E. Dickerson - Cohen Claimant ) ) vs. ) CASE NO. 88-01424 Foster & Marshall Respondents ) Boettcher & Company ) Kenneth Wilkinson ) Jane Doe Wilkinson ) ) SUWARY OF ISSUES This claim was filed on May 3, 1988. Claimant alleged Respondents breached their fiduciary duty, were negligent and acted fraudulently by investing Claimant's fu