NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) HELMA H. NEWTON AND RICK L. BROWN, ) as Trustee et al. ) Claimants ) and . ) ) CASE NO. 88-00730 ) BOETTCHER & CO., INC. AND ) BRIAN R. BENNETT ) Respondents ) CASE SUMMARY Helma Newton ("Newton") and Rick L. Brown Trustee of Newton Trusts one through four (Newton and Brown are collectively referred to herein as "Claimants") alleg

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Larry S. Norris, ) Claimant, ) ) Case /88-00727 vs. } Award Barry LaChance and ) R.B. Marich, Inc., ) Respondents. ) CASE SUMMARY This claim was filed with the NASD, Inc. on Karch 3, 1988. The hearing was conducted on July 19. 1989 in Tampa, Florida, with a total of two (2) hearing sessions. Claimant, Larry S. Norris ("Norris"), alleged that, base

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gerardo Joffe, individually and Claimant on behalf of Priscilla Joffe, Rachel Joffe, Joseph Joffe and Michael Joffe vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent } ) AWARD ) ) ) CASE NO. 88-00723 SUWARY OF ISSUES In a claim filed with the National Association of Securities Dealers, Inc. on March 4, 19B8, Claimant all

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas H. and Genevieve P. Gabriel vs. Steinberg & Lyman and Keith A. Daniels Claimant(s) Respondent(s) HOTICE OF ARBITRATION AWARD 88-00721 CASE SUMMARY Claimant(s) Thomas H. and Genevieve P. Gabriel alleged that Respondents) Steinberg & Lyman and Keith A. Daniels committed unauthorized trading in Claimants' account held with Respondent.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mohammed R. irannezhad Claimant(s) vs. 88-00718 The Stuart-James Co. vs. Eliahu Menashe Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Mohammed R. Irannezhad alleged that Respondent(a) The Stuart-James Co. and Eliahu Menashe made unauthorized purchases. Respondent (s) The Stuart-James Co'.' maintains that the Claimant's

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Fidelity Brokerage Services, Inc. and National Financial Serivces Corp., Claimants ) ) Case #88-00706 vs. Simon I. Glassman, ) Award Respondent On April 17 and 18, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by the Claimants, Fidelity Brokerage Services, Inc. a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between EDWARD J. GIBNEY AND GLEN W. GIBNEY, Claimants, vs. RLR SECURITIES GROUP, INC., ALAN BESHANY, DINO BARONE and EDWARD A. VINER CO.. INC. n/k/a FAHNESTOCK & CO., INC. Respondents. Case 188-00703 Award Heard before the member of the Arbitration Panel: A. William Cohen, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on March 1. 1988.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George and Pauline Waters Claimants vs. AWARD #88-00693 Merrill Lynch, Pierce, Fenner & Smith, Inc. Michael Ehrlich Oavid A. Gingras Respondents Case Summary Claimants George and Pauline Waters (hereinafter "Claimants") alleged that they suffered losses due to the reckless and negligent conduct of Respondents Merrill Lynch, Pierce, Fenner & Smith,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mario DeCarlo and Frances DeCarlo (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Ronald M. Gellmann (Respondents) Case Number: 05-02784 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Mario DeCarlo ("M. DeCarlo") and Frances DeCarlo ("F. DeCarlo") hereinafter collectively refe

Award NASD In the Matter of the Arbitration Between: Dietrich Steiner, Claimant v. E*TRADE Securities, Inc., Respondent Case Number: 01-03217 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Dietrich Steiner, hereinafter referred to as "Claimant": Randall W. Henley, Esq. ("Henley"), Randall W. Henley P.A., West Palm Beach, Florida. On April 26, 2002, Henley withdrew as counsel. Claimant appeared pro se for the remainder of this arbitratio