NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Orel and Serban Protopopescu Claimant(a) vs. 88-01514 Morton Berkowitz Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Orel and Serban Protopopescu alleged that Respondent(s) Morton Berkowitz failej^to execute a trade properly. Respondent(s) maintain that Claimants' orders were executed correctly and in a timely manner. RELI

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edith Winthrop Claimant(s) vs. Gladstone Securities, Inc. & Burton Bereck Respondent(s) AWARD 88-01507 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 25, 1988 and not by the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) LUIZ MARCOLINI AND INGRID LAWRENCE ) Claimants, ) ) Case #88-01505 vs. ) Award BARNETT BROKERAGE SERVICES, INC. ) Respondent. } Heard before the members of the Arbitration Panel: John B. Kelley, Esq. Meah Dell Rothman Tell, Esq. Anthony S. Paetro, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on May 10, 1988. The hearing was c

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Patricia- M. and Jerold R. Everhart Claimant(s) vs. Olde Discount Stock Brokers Rory Vanderheydon & Gary Sharp Respondent(s) AWARD 88-01497 The Arbitrator, 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

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William and Yolanda Williams Claimants vs. PaineWebber, Jackson & Curtis, Inc. and David Sturgis Respondents Case #88-01493 AWARD CASE SUMMARY Claimants, William and Yolanda Williams alleged Respondents, PaineWebber, Jackson & Curtis, Inc. knowingly and intentionally recommended and purchased unsuitable securities for Claimants account. Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Gerald Scher, x Claimant, x x CASE NO. vs. x 90-00269 x Bear Stearns & Co., Inc., and x AWARD Lawrence Friedlander, x Respondents. x . x CASE SUMMARY Claimant, Gerald Scher ("Scher"), alleged that the Respondents, Lawrence Friedlander ("Friedlander") and -Bear Stearns & Co., Inc. ("Bear Stearns"), churned, executed unauthorized t

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Frank J. Roberts III tte Bette A. Roberts vs. Claimant(s) 90-00268 Merrill Lynch, Pierce, Fanner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Frank J. Roberts III tte Bette A. Roberts alleged that Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. sold through misrepresentation an investment which

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cj 1 aJjffB\t($) William T. Sisson 90-00267 R n d t f s Rauscher Pierce Refsnes, Inc. Douglas W. Norsten Simeon R. Trotter Harry Ballard Claire Lewis Heard before: Marc C. Scott, Jr. Public Chairman Steven K. Lura Public Michael L. Diersen Industry This matter was initiated by a Statement

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Alice Van Kirk Claimant 90-00263 and Jon Johnson Respondent Third-Fart/ Claimant and Dain Bosworth Incorporated Third-Party Respondent Claimant was represented by: Frank McAnulty, Esq. of O'Brien, Shriek, Wolf, Deaner & Downing, Rochester, Minnesota. — c Third-Party Claimant, Jon Johnson was represented by: John Warchol,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Malireddy R. Reddy and Usha M. Reddy, Claimants v. Waterhouse Securities, Inc., Frank J. Petrilli and Joseph Armellino, Respondents Case Number: 01-03245 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Steven B. Caruso, Esq. Maddox, Koeller, Hargett & Caruso New York, New York April M. Chung, Esq. Theodore A. Kresbsbach & Associates