NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration between Gregory L, & Maria 3. Brotherton Claimant and olii-IUJJL MAY 81989 CORPORATE .••':•'•••;: Decision #88-00056 F.D. Roberts Securities, Inc. John Conte Respondent(s) Factual Statement. Claimants maintained an account with Respondent, F.D. Roberts Securities, Inc. On July 22, 1987, Claimants sent, by certified mail, return receipt requested, a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between " ) — ) Charles Schwab & Co., Inc. Claimant ) } Case #88-00053 ) vs. _ ) Award ) Howard K. & Jean M. Wilson Respondent ) On April 11, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant on January 4, 1989, and by Respondents on July 2, 1988. The arbitration panel,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ROBERT E. AUSBURY EDWARD D. JONES & CO. ) Respondent ) Claimant v. ) NASD NO. 88-00051 CASE SUMMARY In a claim filed with the NASD on or about January 7, 1988, Claimant Robert E. Ausbury, ("Claimant") alleged that Respondents Edward D. Jones & Co., Gary Aleff and Mark Burnsides ("Respondents") misrepresented to Claimant that his purchases of certain Oil

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Deborah McCall Jones, Cust. for Eric James McCall Claimant(s) vs. 88-00049 Pruder\tial-Bache Securities, Inc. and Ronald Edwards Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Deborah McCall Jones, Cust. for Eric James McCall alleged that Respondent(s) Prudential-Bache Securities, Inc. and Ronald Edwards made unauthoriz

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Louis & Sonia Sirota JTWROS Claimant(s) vs. Gruntal & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-00048 CASE SUMMARY Claimants) Louis & Sonia Sirota JTWROS alleged that Respondent(s) Gruntal & Co., Inc. made unauthorized trades. Respondent(s) maintain that they made no unauthorized trades. RELIEF REQUESTED Claimant(s) Louis & Sonia

NATIONAL.ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert and Pamela Romanko Claimant(s) vs. E.F. Hutton & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-00046 CASE SUMMARY Claimant(s) Robert and Pamela Romanko alleged that Respondent(s) E.F. Hutton & Co., Inc. mishandled their IRA account. Respondent (s) denies all allegations. RELIEF REQUESTED Claimant(s) Robert and Pamela Romanko re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Burton Glazer vs Claimant ) Case #88-00036 Award First Affiliated Securities, Inc. and Elly Fischbach Respondents Heard Before the Arbitration Panel: David G. Skeen, Esq. Prudence W. Baldwin Donald C. Douglas SUMMARY OF ISSUES This arbitration was filed on January 8, 1988. Claimant alleges the following: Respondent Fischbach started

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02562 Morgan Keegan & Company, Inc., Claimant/Counterclaim Respondent vs. Daniel C. Holloran, Respondent/Counterclaim Claimant. ATTORNEYS: Claimant, Morgan Keegan & Company, Inc., appeared through its in-house counsel, Michael K. Henry, Esq., Memphis, TN. Respondent, Daniel C. Holloran, appeared pro se, Franklin, TN. DATE FILED: May 15, 2001 CASE SUMMARY: Claimant/Counterclaim R

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Leon Gray, Claimant vs. Steinberg & Lyman, Joseph Lalota, Jr., and Broadcort Capital Corp., Respondents Case #88-00028 Award CASE SUMMARY Claimant alleged that Respondents purchased an incorrect number of shares of Eastern Environmental Services, Inc. common stock without his authorization and then sold other securities in Claimant's account w

if: V NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) James G. Demos and ) Electra Demos Claimant(s) ) . ) AWARD ) vs. ) CASE NO. 88-00024 First Affiliated Securities, Inc. Respondent SUWARY OF ISSUES This claim was filed on Jan. 4, 1988. Claimants James G. and Electra Demos signed a written authorization whereby Claimants' financial advisor could make trades in Claimants' account with Re