NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Abraham Sebbag Claimant vs. Shearson Lehman Brothers, Inc. Shearson Lehman/American Express, Inc. Gaston Rosenwald Respondents ) ) Case #87-02507 Award On September 15, October 5, November 23, 1988 and January 3, 4, 26, 27, February 8, 9 and March 23, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in sub

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Jeffrey Matthews Financial Group, LLC, (Claimant) vs. Prudential Securities Inc., Brian Marzulli, and Joseph Kehoe, (Respondents) Case Number: 01-02750 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, The Jeffrey Matthews Financial Group, LLC, hereinafter referred to as "Claimant": Jonathan Kord Lagemann, Esq., a sole practitioner, New York, NY. Responden

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between James Trulis Claimant vs. Case #87-02516 AWARD Rick Digilio Respondent CASE SUMMARY This proceeding was commenced initially on December 8, 1987 by James Trulis against Rick Digilio and arises out of a certain account held by Claimant. Claimant alleges that the Respondent failed to execute a sell order on IBM November 100 options. Claimant assert

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between ) AHMAD TAGHIZADEH. ) Claimant ) v. ) CASE NO. 87-02519 ) AWARD MERRILL LYNCH, PIERCE, FENNER & ) SMITH, INC., JEFFREY HANSHAW, ) MICHAEL VORST ) Respondents ) On May 23, 1989 and May 29, 1989 in Houston, Texas the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Ahmad Taghizade

r 1 1 • F" NATIONAL ASSOCIATION OF SECURITIES {DEALERS, INC. i In the Matter of the Arbitration Between ) j - . EUGENE A. DEPPERSCHMIDT d/b/a KENTENTEX ) / ENERGY GROUP ) / Claimant(s) ) and ) ) CASE NO. 87-02536 STEVE JOHNSON; ARTHUR J. PORCARI; ) MICHAEL FEARNOW; AND, PORCARI-FEARNOW & ) ASSOCIATES, INC. ) Respondent(s) ) CASE SUMMARY In a Statement of Claim filed with the NASD on December 9, 1987, Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Julie C. Snoddy vs. PaineWebber, Inc. and William Reynolds Claimant ) ) ) ) Respondents ) ) Case 187-02488 #87-02375 (CONSOLIDATED) Award On April 12 and 13, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Julie C. Snoddy, on November 20

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ^••••••^••••••^•^•••••••••••••••••••••• —^^a,^0,^^^^^,,^,^^^^.^..^. ^.-»i — ^.^^^.^^ In the Matter of the Arbitration Between ) Julie C. Snoddy Claimant ) ) Case #87-02488 ) #87-02375 ) (CONSOLIDATED) vs. ) Award PaineWebber, Inc. and Respondents ) William Reynolds ) On April 12 and 13, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissi

4 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lawrence C. Wile 93-03844 Name of Respondents Alan Siemens CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 23, 1993, Claimant Lawrence C. Wile, who appeared Pro Se, alleged that Respondent Alan Siemens failed to execute his sell order of 2000 shares of Clothestime

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants NASD Arbitration Ted and Alyce Stroud No. 93-03843 v. Name pf Respondents Shcar^oii Lelunau Brothers, inc. Kim Williams REPRESENTATION For Claimants: David Skellenger, Esq. - Skellenger, Bender. Mathias & Bender, P. S.. Seattle. Washington For Respondents: Neil A. Sussman. Esq. - Smith Barney, Inc., New York. New Yor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hector Perez Perez 93-03830 Name of Respondent PaineWebber, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 24,1993, Claimant Hector Perez Perez, who appeared Pro Se, alleged that Respondent PaineWebber, Inc. did not properly advise him concerning an investment he had ma