N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Itetter of the Arbitration Between ) ) Name o E. Bell (Individual & as Personal ) Representative of Charles E. Bell) ) Rodney A. Bell ) ) Case No. 90-01018 ) Man** of Respondent? si ) ) Consolidated Investment Services, Inc. ) Richard N. Davis ) Heard before the members of the Arbitration Panel: Patricia A. Snub, Esq. Public Sherman R. Kaplan, M.D. Public

NATIONAL ASSOCIATION OF SECURITIES DEALERS r INC. tn the Matter of the Arbitration Among Susan Knurek Custodian f.b.o. - Case #90-01016 Lisa M. and Mark Knurek . AWARD Claimants vs. Anchor National Financial Services, Inc. . and Frederick D. Johnson, II Respondents CASE SUMMARY Claimants, Susan Knurek Custodian f.b.o. Lisa M. and Mark Knurek, (hereinafter the "Claimants") alleged that Respondent, Frederick D. Johnson, II (her

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. -»—•.»———————_..———_._ — •____„_..„___.„.___„_,..„_._..—.——————.———.- — In the Matter of the Arbitration Among John & Michele Alfano Claimants vs. Case #90-01008 Award Russo Securities, Inc. and Mark Ellman Respondents CASE SUMMARY Claimants, John & Michele Alfano ("Alfano"), alleged Respondents, Russo Securities, Inc. ("RSI") and Mark Ellman ( H Ellman"), executed unauthorized tra

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS i In the Matter of the Arbitration Between \ Jean Grose \ Claimant vs. 90-01002 William Collings, American Capital Equities, Inc., Robert Hilliard, SFG Brokerage Co. Respondents REPRESENTATION OF PARTIES Claimant Jean Grose was represented by John M. Franck II, Esq. and James N. Williams, Esq. of Middleton and ReutLinger, Louisville, Kentucky. CASE SUMMARY In a Stateme

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paula Whitsell, Claimant v. Wells Fargo Securities, Inc., Respondent Case Number: 00-04730 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Philip M. Aidikoff, Esq. Aidikoff&Uhl Beverly Hills, California For Respondent: Michael Lawson, Esq. Steefel Levitt & Weiss San Francisco, California CASE INFORMATION Statement of Claim filed: Octob

In the Matter of the Arbitration Between Raymond T. and Carla P. Stearns Claimant(s) vs. Charles Hofheimer Respondent(s) NOTICE OF ARBITRATION AWARD 90-01000 CASE SUMMARY- Claimant(s) Raymond T. and Carla P. Stearns alleged that Respondent(s) Charles Hofheimer recommended an unsuitable investment, used inside information in recommending the investment and breached, his obligation to provide service to the Claimant. Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between James A. DeChaine Claimant and 90-00999 Craig-Hailum f Inc. David Fritchard Respondents OF PRKFTES Claimant Jamas A. DeChaine was represented by Ttanas J. Conlin, Esq. and Jan M. Gonlin, Esq. of Robins, Kaplan, Miller & Ciresi, Minneapolis, Minnesota. Respondents Craig Hallum, Inc. and David Fritchard VSBB represented by Ite

N.A.S.D. AWARD ? NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^s) Steven Levine Name of Resrondentfsi 9Q-QQ998 Kotaer Financial Corp. Larry Palamino Craig Vaccaro In a Statement of Claim filed with the NASD on April 5, 1990, Claimant Steven Levine alleged that Respondents failed to execute his market order to sell 7000 shares of over-the-counter stock on June 8, 1989 and that Respond

CASE f90-00988 AWARD NATIONAL ASSOCIATION OF .SECURITIES DEALERS P In the Matter of the Arbitration Between Louis S. & Bobbie Lee Wiles Claimants vs . Frank Boehm, III A.G. Edwards & Sons, Inc. Respondents CASE SUMMARY Louis and Bobbie Lee Wiles, in a claim filed with the National Association of Securities Dealers, Inc. on April 4,1990 , alleged that Respondents Frank Boehm, III and his employer, A.G. Edwards & Sons, Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-00986 AWARD In the Matter of the Arbitration Between Annabelle Abramson Claimant vs. Cowen & Co. Cowen Asset Management Kyle Mishne Respondents CASE SUMMARY Annabelle Abramson f in a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1990, alleged that she was not a suitable candidate for Cowen Asset Management and that Respondent