Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cosmo L. Bordonaro, the Cosmo Bordonaro Basic IRA, the Cosmo Bordonaro IRA, and the Cosmo Bordonaro IRA Rollover, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Louis Telerico, (Respondents) Case Number: 01-02610 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimants, Cosmo L. Bordonaro, the Cosmo Bordonaro Basic IRA, the Cosmo Bordonaro IRA, and the

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimant Milton L. Strickland v. A.G. Edwards & Sons, Inc. Case Number: 00-00864 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Milton Strickland referred to herein as "Claimant": L. Jerome Stanley, Esq., L. Jerome Stanley, P.C., Baton Rouge, Louisiana. Respondent A.G. Edwards & Sons, Inc., hereinafter Referred to as "Respondent": M. Jane Ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between VICTOR and MARILYN TETREAULT, JTWROS, vs. BEAR STERNS t COMPANY and STEVEN KIRSCH, Claimants, Respondents. Case #87-01239 Award Heard before the members of the Arbitration Panel: Constance J. McCaughey, Mr. Roger C. Benson Mr. Jeffrey Wuliger Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on September 15. 1987. The hearin

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Harry & Betty Mae Ruder Claimant(s) vs. Blinder Robinson 6 Co., Inc. vs. Matthew Bradbury Respondent(s) AWARD 87-01193 The Arbitrator, Mary E. Baker, 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 August 4, 1987 and Apr

MATIONAL ASSOCIATION OF SECURITIES DEALERS, IMC. In the Matter of the Arbitration Between ) )- MARTIN SHEVRIN, ) Claimant, ) ) Case J87-00975 vs. ) Award ) BROADCHILD SECURITIES CORP., PRUDENTIAL-BACHE ) SECURITIES, INC., JANNEY MONTGOMERY SCOTT, INC., ) and EDWARD BEAUDETTE. ) Respondents. ) On April 11. 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by C

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Hatter of the Arbitration Between Frances M. Hoffman and Sonja Dixon JTTEN Claimant(a) vs. 87-00941 Sprung & Wise Securities Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant asserts recision; Respondent agrees to recision upon condition that stock or lost certificate documentation be delivered to it. AWARD Pursuant to Section 13 of the NASD, Inc. Code of

. Z A/0.,2 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. T» In the Matter of the Arbitration Between ) ) Jed N. Miyashiro Claimant ) ) Case #87-00713 vs. ) ) Award ) Kennedy, Cabot & Company, Inc. Respondents ) Jack Robertson ) Charles Schwab & Co., Inc. ) Securities Settlement Corporation ) ) The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN .lohn F. and Donna M. Lombat i Michael J. & Cheryl A. Manm Claimants vs. Paul Joyce Stuart-James Co., Inc. Respondent-, Case #87-01226 -/ (consolidated w/88-00266) AWARD CASE SuTflARY In a claim filed with f he National Association of Securities Dealers, Inc. by Claimants John F. and L'onna M. Lombari on July 6, 1987 and by Claimants

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN F. and Donna M. Lombati Michael J. & Cheryl A. Manm Claimants vs. IMul Joyce Stuart-James Co., Inc. Respondent" Case #87-01226 s (consolidated w/88-00266) AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. by Claimants John F. and L'onna M. Lombari on July 6, 1987 and by Claimants Michael J. and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael A. Boyd, Jr. Michael A. Boyd, Inc. Robert Joel Blumenthal Joyce Blumenthal Terence M. York Arthur S. Raskin Martha Raskin Alan D. Bunims Roderick Boyd et a! 93-02144 Name of Respondents David Bruce McMahan McMahan Securities Co. L.P. William Fertig Mark Allen Plimpton Saul Schwartzma