NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Floyd B. Rhoades, Jr. ) Audrey Rhoades Claimants ) ) AWARD vs. ) ) NASD NO. 88-01098 William T. Powell ) Merrill Lynch, Pierce Fenner & Smith, Inc. ) PaineWebber, Inc. ) Jordan Ball ) Hoi1is Anderson ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 1,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Loris Troup ) Claimant ) and ) A W A R D E. F. Hutton and Co., Inc. and ) 88-01097 Stacy M. Johnson ) Respondents ) On Thursday, May 19, 1989, in Scottsdale, Arizona, the undersigned arbitrators h°ard the controversy between the parties as set forth in submissions to arbitration signed on March 30, 1988 by Claimant Loris Troup, on October 17, 1988

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) REBECCA FOLSOM ) Claimant ) and ) ) CASE NO. 88-01094 A. G. EDWARDS & SONS, INC. ) Respondent ) CASE SUMMARY In a claim filed with the NASD on April 6, 1988, Claimant Rebecca Folsom alleges that Respondent A. G. Edwards & Sons, Inc. through its registered representative traded excessively in her account, recommended unsuitable investments; and

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gate City Christian Church Claimant vs. Fidelity Brokerage Services, Inc. Respondent Award 188-01090 The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in submissions to arbitration signed by the parties on March 11, 1988 and July 26, 1988, respectiv

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Kidder Peabody & Co., Inc., vs. Aziz and Iffat Ahmed, and Aziz and Iffat Ahmed, vs. Kidder Peabody & Co., Inc. Claimant Respondents Claimants Case «88-01079 AWARD Case #88-01213 Respondent CASE SUMMARY Claimant, Kidder Peabody & Co., alleged that Respondents, Aziz and Iffat Ahmed, failed to respond to a margin maintenance call

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03226 Elliot G. Levy and Deborah L. Levy, as general partners of Levy Ventures Limited Partnership, Elliot G. Levy, M.D., Trustee of the Elliot G. Levy, M.D., P.A., Employee Profit Sharing Plan 10/1/89, Dr. Elliot G. Levy and Deborah L. Levy as co-trustees of the Developmental Resource Center, Inc. PSP DTD 4/1/92 for the benefit of Deborah L. Levy Name

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Eloise Cohen (formerly Eloise Burg) Claimant vs. Prudential-Bache Securities, Inc. and David Sage man Respondents Case #88-01078 AWARD CASE SUMMARY Claimant alleged Respondents made unauthorized purchases in non-liquid, high risk and unsuitable investments. Further, Claimant alleged that these transactions were made contrary to her instructions

/ I NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Leon Iknadossian Claimants ) and Lisa Iknadossian ) Case #88-01075 I vs. ) Award ) Charles Schwab & Co., Inc. Respondent ) Heard Before the Arbitration Panel: Aaron Fenton Daniel A. Weber Dennis E. Wollan CASE SUMMARY Claimants brought this claim on April 4, 1988 and alleged that Respondent Charles Schwab & Co., Inc. fail

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of the Arbitration Between Mary Ruth Wilson and Leslie Wilson Claimants vs. "he Stuart-James B. West ill Company, Inc. and Hiry Respondents Case fSa-01074 AWARD CASE SUMMARY Claimants Mary Ruth Wilson and Leslie Wilson alleged that Respondent Hiry West engaged in excessive and unauthorized trading in the Claimant's account. Claimants alleged that they were unsophistic

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Stephen G. Sheppard ) Claimant ) and ) A W A R D ) 88-01065 B.C. Christopher Securities Co. ) Respondent ) SUMMARY OF THE CLAIM Steve Sheppard ("Claimant") alleges that B.C. Christopher ("Respondents") made misleading statements, fraudulent misrepresentations and omissions of material facts in the negligent handling of Claimant's account.