NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David C. Black, Claimant vs. Shearson Lehman Mutton, Inc., and Roger Reynolds, Respondents Case #88-01569 Award CASE SUMMARY Claimant, David C. Black, alleged that Respondent, Roger Reynolds, failed to follow his order to shift his account from equities into government-issued bonds when its value exceeded $1.5 million and when its value decrease

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name Of naimant(s) ) ) Shearson Lehman Hutton, Inc. ) ) ) Case No. 88-01489 ) NjBnie_Qf_BBSBpndent f s] ) ) Richard Henry ) Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Public Virginia Rhyne Public Joseph H. Luby Industry Claimant, Shearson Lehman Button, Inc. ("Shearson"), was represente

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Wilhelm Rindner and Eva Rindner, vs. Bear Stearns & Co., Inc. and Max G, Anstacher, Claimants Respondents Case 188-01487 Award CASE SUMMARY Claimant alleges that respondent brokerage firm and its registered representative who had been given discretionary authority, improperly handled naked index options trading program developed over several y

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Charles Begini, Zoya Begini, Claimants ) Janet Eshaya, William Eshaya, ) Joan Holliday, Salim Hariri, ) Dusan Progovac, Hasan Sanobara, ) Charles Simon, Sergio Sole, ) AWARD Aniyan Varma and Naima Greffon ) ) CASE NO. 88-01481 vs. ) Shearson Lehman Brothers, Inc., Respondents ) Shearson/American Express and ) Robert Pacilio ) SUMMARY OF IS

NASO N.A.S.D. AHARD NATIONAL ASSOCIATION OF SECUIITIES DEALERS Ai bill ft lion National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between of CTIaiimmfc Russ L. Shannon VB Eugene Jewett Case f 88-01475 This claim was filed with the National Association of Securities Dealers, Inc. on May 6, 1988. Tte hearing was October

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Betveen ) ) S. DAVID THORPE, ) -~ Claimant, ) ) Case 188-01471 vs . ) Award . ) . P. D. ROBERTS, INC., JOHN OEHL, ) HERZOG, HEINE CEDULD, INC., and ) J. MORGAN FINANCIAL SERVICES. ) Respondents. ) Heard before the member of the Arbitration Panel; Craig Edward Stein, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on May 6, 1988. The h

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-03251 H&R Block Financial Advisors, Inc., Claimant vs. Garbis Baklayan, Respondent. ATTORNEYS: For Claimant appeared Kurt M. Miller of H&R Block Financial Advisors, Inc., Detroit, MI. Respondent did not respond to the Statement of Claim. DATE FILED: June 19, 2001 CASE SUMMARY: Claimant alleged that Respondent failed to meet margin requirements in his portfolio which prompted the Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ELAINE STIARWALT ) Claimant ) v. GROUP NINE SECURITIES and MIKE HESSE Respondents NASD No. 88-01470 CASE SUMMARY Elaine Stiarwalt ("Claimant") alleges that Group Nine Securities, Inc. ("Respondent Nine") and Mike Hesse ("Respondent Hesse") (sometimes referred to collectively as "Respondents") made purchases in her IRA and in her regular account that

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dr. Robert Simmon Claimant(B) vs. 88-01468 Larry Geller, Vanderbilt Securities/ Prestige Investors, Inc. and Joseph Radcliffe Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(a) Dr. Robert Simmon alleged that Respondent(s) Larry Geller, Vanderbilt Securities, Prestige Investors, Inc., and Joseph Radcliffe fraudulently misrep

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John E. and Patricia M. Quick Claimants ) and ) AWARD Case No. 88-01465 Merrill Lynch Pierce Fenner & Smith and William M. Ten Eyck Respondents ) CASE SUMMARY In a claim filed with the NASD on May 6, 1988, Claimants John E. Quick and Patricia M. Quick ("Claimants") alleged that Respondent Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch") a