NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rose Izzo Claimant(s) ARBITRATION vs. AWARD 90-01588 Advest, Inc. and Thomas J. Loffredo Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Rose Izzo alleged that Respondent(s) Advest, Inc. and Thomas J. Loffredo invested Claimant's monies in unsuitable securities. Respondent(s) maintain that the investments in questions were similar to previous

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John and Donna O'Brien Claimant vs. Ralph A. Aballo Respondents OATH AND AWARD OF ARBITRATOR 90-01586 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or related by blood or marriage to any of the

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Shahid Kamal and Zeenat S. Kamal, (Claimant) vs. Salomon Smith Barney, Inc., Gruntal & Co., Inc., and Michael M. Friedman, (Respondents) Case Number: 00-04791 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Shahid Kamal ("S. Kamal") and Zeenat S, Kamal ("Z. Kamal"), hereinafter collectively referred to as "Claimants": Kevin P. Claffey, Esq., Claffey & Mas

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mama of Claimantfs^ Joseph S. Dobransky 90-01575 : ' Nama of Respondentfsl Prudential-Bache Securities Inc. Winston Margozswitz rase SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about June 4, 1990, Joseph Dobransky ("Claimant") alleged that Winston Margozewitz and Prudential-Bache

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE «90-01574 AWARD In the Matter of the Arbitration Between Anton E. Reel, III Claimant vs. Datek Securities Corporation vs. Legg Mason Wood Walker, Inc. Respondents CASE SUMMARY Anton E. Reel e III, in a claim filed with the National Association of Securities Dealers, Inc. on June 4, 1990, alleged that Respondent Datek Securities Corporation executed a purchase order for

AMSO N.A.S.D. STIPULATED AWRRD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of 90-01573 Scott Koppelman Hod Odcm Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 For Claimant: Joseph W. Prokop of Prokop and P&okcp. For Respondent: Richard J. Bennett, Attorney at law. Statement of Claim filed: June 4,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerald J. and Kathryn R. Keane Claimant(s) vs . Mark Hammer, Marshall Davis, Inc. and Advent Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 90-01572 CASE SUMMARY Claimant(s) Gerald J. and Kathryn R. Keane alleged that Respondent(s) Mark Hammer, Marshall Davis, Inc. and Advent Securities, Inc. provided erroneous and misleading i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s\ Robert G. Mueller 90-01571 Name of Respondentss) Merrill Lynch, Pierce, Fenner & Smith, Inc. In a claim filed with the National Association of Securities Dealers , Inc. ("NASD") on or about June 4, 1990, Robert G* Mueller ("Claimant") alleged that Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent 11 ) failed t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ralph C. Reese / ^-^ Claimant/ ^ / /-;- vs. / * 90-01570 / / " ' ' v. Invest Financial Corporation / //; Cr . Respondents! / "z^m.^r REPRESENTATftJH^Qy PARTIES Ralph C. Reese appeared pro se. Respoftdeat Invest Financial Corporation was represented by Eugene B. HarpSr>^/Esq*, Staff Attorney, Invest Financial Corporat

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-04789 Evagoras Papayiannis, claimant vs. Worthington Capital Group, Inc., Morgan Grant Capital Corp., Howard Zelin and Russell Ehrens, respondents. ATTORNEYS: For Claimant appeared Leonard A. Rodes, Esq., of the firm Trachtenberg and Rodes, LLP, New York, NY. For Respondent, Howard Zelin, appeared Randy Scott Zelin, Esq., Westbury, NY. Respondents, Worthington Capital Group, Inc., M