NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD CASE NO. 86-00953 In the Matter of the Arbitration Between ] * Judith Perper Claimant ] vs. ! Dean Witter Reynolds, Inc. and Respondents ] Ralph Snyder ) SUMMARY OF ISSUES This claim arises from a complaint filed in San Diego Superior Court, Case 1544692, dated July 8, 1985 naming Howard Reynolds, Jr. ("Reynolds"), Ralph L. Snyder ("Snyder") and Dean Witter Reynolds, Inc. ("Dean

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dr. Natu Patel Claimant(s) vs. Norman Letch Respondent(s) NOTICE OF ARBITRATION AWARD 86-00896 CASE SUMMARY Claimant(s) Dr. Natu Patel alleged that Respondent(s) Norman Letch mishandled his account. Respondent(s) did not defend. RELIEF REQUESTED Claimant (s) Dr. Natu Patel requested damages of Three Thousand Five Hundred Forty Five Dollars and

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Ashley Rhoden and 01-02707 Dallas, Texas Name of Respondents Ameri-First Securities Corporation Ryan Mark Reynolds Jeffrey Charles Bruteyn James Norman Chatham, n Louis N. Dunklin REPRESENTATION OF PARTIES Ashley Rhoden ("Claimant") was represented by Tracy Pride Stoneman, Esq., Westcliffe, Colorado. Ameri-First Securities Corpor

NATIONAL ASSOCIATION OF SECURITIES DEALERS, IMC. In the Matter of the Arbitration Between ) ) DOUGLAS L. OEST , ) ) Claimant ) ) Case #87-00211 vs. ) ) Award TEICHBERG LOEB WAXMAN & RABINOWITZ, INC. ) ) Respondent ) CASE SUMMARY Claimant Douglas L. Oest (Claimant) alleged that he purchased 3000 shares of Laser Arms Corporation for $4,876.00. Claimant alleged that the broker pushed "phony" stocks and that the money sho

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. NASD NO. 85-01268 In the Hatter of Arbitration Between ) REBECCA KING ) Claimant ) v. DREXEL BURNHAM LAMBERT, INC. CHARLES BEST, GEORGE HILHOT Respondents CASE SUMMARY Rebecca King ("Claimant") alleged the following: 1. Drexel Buroham Lambert, Inc. ("Drexel") Charles Best ("Best"), and George Wilroot ("Hilmot") (Drexel, Best and Hilmot are collectively referred to herein as "Respondent

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants John G. Boston and Virginia A. Boston, Individually and as Trustees for the John G. Boston and Virginia A. Boston Trust vs. Case Number: 05-06530 Hearing Site: Kansas City, Missouri Names of Respondents Alan Kent Suiter and Samuel Edward Parsons NATURE OF THE DISPUTE Customers vs. Associated Persons REPRESENTATION OF PARTIES John G. Bos

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant U.S. Bancorp Investments, Inc. vs. Names of Respondents Nadia T. Cavner, Rebecca R. Angus, and Steven E. Clark Case Number: 05-04734 Hearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Member vs. Associated Persons REPRESENTATION OF PARTIES U.S. Bancorp Investments, Inc. ("Claimant") was represented by Michael C. Lueder, Esq., Foley

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James T. Ryan, IRA DTD 5/5/2000 vs. Case Number: 05-03698 Hearing Site: Chicago, Illinois Name of Respondent Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES James T. Ryan, IRA DTD 5/5/2000 ("Claimant") was represented by James J. Eccleston, Esq. and April Lindauer,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Carrie G. Lutz vs. Case Number: 04-07102 Hearing Site: Dallas, Texas Name of Respondent Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Carrie G. Lutz ("Claimant") was represented by Richard A. Lewins, Esq., Burg Simpson Eldredge Hersh Jardine PC, Dallas, Tex

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Marjorie Maurine Thomas and Neal Stout vs. Case Number: 03-06944 Hearing Site: Oklahoma City, Oklahoma Names of Respondents Prudential Equity Group, LLC, Carl W. Busch, Billy W. Cobb, and John Charles Pierce NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Marjorie Maurine Thomas ("Thomas") and Neal St