NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration ?etween ) MICHAEL PEARCE ) Claimant ) and ) ) CASE NO. 88-1895 SHEAFSON LEHMAN BROTHERS ) JANE RHODES ) Respondent ) CASE SUMMARY In a Claim filed on or about June 13, 1988 the Claimant alleged that the Respondent Rhodes falsely informed him that his shares of common stock could not be sold pursuant to his instructions on October 13, 1987. The Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Henrv T. Kim and Julia 0. Kim Claimants Case #88-01891 vs. ) Award ) PaineWebber, Inc. and Timothy Tunney Respondents ) ) CASE SUMMARY Claimants filed this action on June 13, 1988 against Respondents for negligence, failure to disclose material facts, and for the recommendation of'unsuitable securities in light of Claimants' investment objectives. C

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Paul Aucoin Claimant vs. Fidelity Brokerage Services, Inc. Respondent Case 188-01887 AWARD CASE SUMMARY Claimant, Paul Aucoin alleged Respondent, Fidelity Brokerage Services, Inc. executed transactions in Claimant's account without obtaining authorization and breached the fiduciary duty it owed to the Claimant. Claimant further alleged Responden

NATIONAL ASSOCIATION OF SECURITIES DEALERS ========s================================== In the Matter of the Arbitration Between . Donald P. Foudrait vs. Fidelity Investments Claimant Respondent Award #88-01879 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 June 7, 1988 a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Karin DeGraffenreid, (Claimant) vs. DebtTraders, Inc., (Respondent) Case Number: 01-03149 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Karin DeGraffenreid, hereinafter referred to as "Claimant": Scott Moss, Esq., Outten & Golden LLP, New York, NY. Respondent, DebtTraders, Inc., hereinafter referred to as "Respondent": Ann L. Moscow, Esq., Epstein Becker &

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wendy Ann Fisher Claimant(s) vs. 88-01874 Morgan Keegan & Co. Respondent(s) AWARD The Arbitrator, Janet Weiss, 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 July 18, 1988 and September 2, 1988, respectively; And, that havi

Arbitration N.A.S.D. AWARD A , 80c|l|tk)n of Securities Daalers. Inc. Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS Th|p ee P' r « National Plaza - Chicago, IL 6C602 (312) 899-4440 in the tetter of the Arbitration Between MAUREEN W. DURWOOD Claimant 88-01873 and PAINEWEBBER, INC. Respondent and Third Party Claimant and KENT KELLEY Third Party Respondent In a claim filed with the NAS

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dr. Samuel I. Levy, vs. Shearson, Lehman. Hutton, Inc., Philip Chmieleski and Stanley Jaffe, Claimant, ) Case 188-01869 Respondents. Award Heard before the members of the Arbitration Panel: Craig Edward Stein, Esq. Mr. Geoffrey Swan Mr. Carl J. Hegner CASE SUMMARY This claim was filed with the NASD, Inc. on June 8, 1988. The hearing

Arbitration N.A.S.D, AWARD National A».oci.tlon of Securities Dealers, Inc. Suite 1680 NATIONftL ASSOCIATION OF SECURITIES DEALERS Three First National Pfaza Chicago, IL 60602 - 1312) 899-4440 In the Matter of the Arbitration Between Richard M. Durwood Claimant PaineWebber, Inc. 88-01868 Respondent Kent Kelley, Third Party Respondent CASE SUMMARY In a claim filed with the NASD on or about June 8, 1988, Claimant Richar

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mega Management Claimant(s) vs. Shearson Lehman Brothers Respondent(s) AWARD 88-01866 The undersigned being the ArbiLrator 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 2, 1988 and August 4, 1988, respectively; And