NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter B e t w e e n ) JOHN C. DAVIS ) Claimant ) v. ) CASE NO. 88-01557 A. G. EDWARDS & SONS, INC. AND ) BILL STIGALL ) ) Respondents ) ) CASE SUMMARY Claimant ("Davis") alleged that Respondents, A. G. Edwards & Sons, Inc. and Mr. Bill Stigall failed to properly execute his order of October 15, 1987 to sell all of his mutual funds whi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant! sV John A. Zaucha 88-01555 Merrill Lynch, Pierce, Fenner & Smith David Riebe Sandra DeQeorges Susan Burrell Kerry Kleissle Barry Gross .. j \[}j — ......... i ' • ' \ JK\| oJN 2 5 !—• - il u u John A. Zaucha ("Claimant") appeared gr£ gg and was advised by Geoffrey

MAY 28 FSB NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Leslie G. Carter Claimants vs. Shearson/American Express, Inc. Samuel Manno Respondents AWARD #88-01553 Case Summary Claimant Leslie G. Carter alleged that Respondents Shearson/American Express, Inc. and Samuel Manno traded unsuitable speculative securities in Claimant's account in high frequency and without the authorization of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Victor Y. Feng and Elizabeth M. Meade Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. David E. Jarrett Respondents Case #88-01550 Award The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimants and Respondents, set forth in submissions to arbitration signed by t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Donna Marie Koepfler Francis X. Koepfler Claimants vs. CASE #88-01549 AWARD Merrill Lynch, Pierce, Fenner & Smith, Inc. Mark Maiorella Respondents CASE SUMMARY Claimants maintain their account with Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"). Respondent, Mark Maiorella ("Maiorella") was their account executive.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of CAaimant(s] Jayce Stephen Moore 88-01546 Name of Respondent(s) John Bradley Alvin Blumberg This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 12, 1988, Claimant, Jayce Stephen Moore (Moore) alleges that Respondent Alvin W. Blumenberg (Blumenberg) while enployed at Respondent firms TriBradle

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Tim W. Stark vs. Blinder, Robinson & Co. Oim Ferouson Claimant Inc. Respondents AWARD #88-01541 Case Summary This proceeding was commenced by the Claimant to recover damages from the Respondent arising from losses in Claimant's securities account which the Respondent maintained from approximately July 1986 until approximately December 1987. Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Jim S. & Patricia L. Prindel Claimant(s) vs. Dean Witter Reynolds, Inc. Respondent(s) AWARD 88-01528 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 May 6, 1988 and September 28, 1988,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gerald Olgin, Claimant v. Biltmore Securities, Inc., Marc Sitzer, Alan Siemens, Elliott Loewenstern and Richard Bronson, J.B. Oxford & Company, Respondents Case Number: 00-00975 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Gerald Olgin, hereinafter referred to as "Claimant": Harter, Secrest & Emery LLP, Peter H. Abdella, Esq., of Counsel, 1600 Bausc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marvin L. Silcott Claimant(s) vs. Merrill Lynch, Pierce, Fenner, & Smith Respondent(s) NOTICE OF ARBITRATION AWARD 88-01522 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 May 4, 1988