NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-00778 AWARD In the Matter of the Arbitration Between Asher A. & Lorell F. Blass Claimant vs . Burke, Christensen & Lewis Securities, Inc. Respondent CASE SUMMARY Asher A. & Lorell F. Blass, in a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1990, alleged that Respondent Burke, Christensen & Lewis Securities, Inc., did not make reasonabl

Afbltratlon .A. A .U. AMMP Nation., AMoc.tk.no. Securities Dealers, Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS NASD Financial Center _ _____ __ 33 Whitehall Street In the Matter of the Arbitration Between New York, New York 10004 Paul j. Konecny, Paul J. Kdnecny as Custodian For Christopher P. Konecny & Joanne E. Buono vs 90-00769 Name of Respondents Michael Carter Alexander G. Minella Parsons Eng Wal

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-00768 AWARD In the Matter of the Arbitration Between Michael Keschner Claimant vs. William Baquet Respondent ; CASE SUMMARY In a claim filed with the National Association -of Securities Dealers, Inc. on March 14, 1990 Claimant, Michael Keschner alleged the Respondent breached the fiduciary duty owed him by executing unauthorized trades, utilizing high pressure selling tactics,

N.A.S.D. .AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of r*1aimgnt:(5) Eddie B. Scoggin? Robert A. Neilson? John Newnon; Mitchell C. Massey M.D. r A Professional Jfedical Corporation and Washington Parish Radiology, Inc. Profit Sharing Plan 90-01566 (consolidated with 90-00960 t and 90-00764) Name of Respondent: f s \ Legg Mason Wood Walker C. Peck Hayne For C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAEZRS In the Matter of the Arbitration Between Allan N. & Alene J. Sbeppard 9Q-Q< Name of Shearson Lehman Hut ton. Inc. Boyd L. Embrey Allan N. Sheppard and Alene J. Sheppard were represented by Cynthia A. Deiters, Esq. of Green, Hoffmann & Dankenbring, St. Louis, Missouri. Shearson Lehman Hutton, Inc. and Boyd L. Qnbrey were represented by Thomas M. Newark, Esq. of Gallop, Johnson & Newman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEM£RS In the Matter of the Arbitration Between Lawrence C. Rabinowitz custodian Dayna R. Rabinowitz 90-00758 Name of R^mndeaitLfflN Gruntal & Co., Inc. Norman Raymond Claimant, Lawrence Rabinowitz, alleged that Respondent, Norman Raymond, recoimended ha place $80,000.00 of funds held as custodian for his daughter, in the "Hits Trust #7" managed by Drexel Burnham Lanfcert, Inc. as a safe

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betwsen" Name of Claimant: Paul A* Harman ARSrTRATlON-CHICAGC Name of Larry Means Marshall Davis, Inc. This claim was initiated by a Statement of Claim filed with the National /..^elation of Securities Dealers, Inc. ("NASD") on or about March 13, 1990, r. Harman ("Claimant"), alleged that Larry Means ("Means") a registered ret- tentative employed b

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-04689 Access Financial Group, Inc., Claimant vs. John Carlos Rojas, Respondent. ATTORNEYS: For Claimant, Access Financial Group, Inc., ("Claimant"), appeared Andrew S. May, Esq., of the firm of Henderson & Lyman, Chicago, IL. Respondent, John Carlos Rojas, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: October 23, 2000. CASE SUMMARY: Claimant alleged that Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between")* Name of f!laimant:fs| Thonas Bongard Name of Shearson Lehman Hut ton, Inc. Robert Farrell ) Case No. 90-00751 ) Heard before the Arbitration Panel: Mark C. Perry, Esq. Penny N. Miller Eduardo J. Palacio, Esq. Public Industry Public This matter was initiated by a Statement of Claim filed with the National Associati

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Elise Andrini ) Claimant ) ) AWARD vs. ) ) NASD NO. 90-00748 Norman Kauffman ) Respondent ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 9, 1990. Claimant alleged breach of fiduciary duty, fraud and unsuitable and unauthorized transactions in the purchase of options