NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC n the Matter of the Arbitration Between James Hladek Claimant vs . Castleton-Rhodes , Inc. Raymond J. Carr Allen Boxer Respondents AWARD #90-00747 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1990 Claimant James Hladek alleged stock was purchased for his account without his approval and authorization and the Respondents

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Bong Whan Choi Claimant vs. AWARD NASD #90-00745 Merrill Lynch Pierce Fenner & Smith, Inc. and Ben Blough Respondents Heard before: Donna L. Devlin Public Arbitrator Henry Ott-Hansen Industry Arbitrator Benjamin B. Segel Public Arbitrator CASE SUMMARY Claimant, Bong Whan Choi ("Choi"), alleged Respondents, Merrill Lynch Pierce Fenner & Smi

N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Aria M. Sills 90-00743 Mamp of 3fl3gPOJ| r *f'Pl"{P) E.F, Hotton & Conpany, Inc. Kiddter, Peabody & Co., Incorporated Larry Hilliken Claimant Aria M. Sills was represented by Dwaine D. Piskens, Esq. Scottsdale r Arizona, Jtespondent E.F. Hutton & Co., Inc. was represented by Elizabeth Beasley of Keesal Young & Logan of Los Angel

N.A.S.D. AWARD Arbitration ® National Association of NATIONAL ASSOCIATION OF SECURITIES DEALERS O^E^f B^ar Suite 1000 Ft. Lauderdale, Rorida 33301 in the Matter of the Arbitration Between t 305 ) 522-7391 Name Qf_ClaiiB&nt.fs^ Claire Keneally CASE #90-00735 Name of R&SCCTKtenti f S1 Sally Hooper Heard before the Arbitrators John P. Cullem, Esq. Public Arbitrator This claim was initiated ty a Statement of Claim filed with the

Arbitration NJLS.U. AWARU National Association of Securities Dealers, Inc. NASD Financial Center NKTICNAL ASSQCIOTICN OF SECURITIES DERLfflS « W ^ lte " a )' l 3tr £*i, New YorK. New York In the Matter of the Ar±>itration Between Name of M. Goldstein 90-00734 Invest Corp. Donna Goard Northeast Savings Case Summary Claimant alleges that she placed put option orders on the major market iniex on O

N.A.S.D. SWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the flatter of the Arbitration Betvreen Name of Claimantfs) Lois & Jerone Solemn 90-00733 Name of M.H. Novick & Ccctpany/ Inc. Michael H. Novick Claimants Lois & Jerome Solonon vsre represented by Reid R. Lindquist, Esq. of Lcnmen, Nelson r Cole & Stageberg, P.A. f Minneapolis, Minnesota. Respondents did not reply to the Statansnt of Claim. Statenent of Claim fi

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lilly Wohlin, (Claimant) vs. Salomon Smith Barney Inc. and Kieran J. Lynch, (Respondents) Case Number: 00-04688 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Lilly Wohlin, hereinafter referred to as "Claimant": Martin J. Siegel, Esq., a sole practitioner, New York, NY. Respondents, Salomon Smith Barney Inc. ("Salomon") and Kieran J. Lynch ("Ly

NATIONAL ASSOCIATION OF SECURITIES DEALERS NOTICE OF In the Matter of the Arbitration Between Rudolph Horstman and Dorothy Horstman Claimant(s) ARBITRATION vs. AWARD 90-00730 Smith Barney, Harris, Upham & Co., Inc. Respondent(s) CASE SUMMARY Claimant(s) Rudolph Horstman and Dorothy Horstman alleged that Respondents) Smith Barney, Harris, Upham & Co., Inc., the account representative, misrepresented the value of tax free units

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Raymond Gold Claimant vs. Shearson Lehman Button, Inc., and Lester Cohen Respondents x x X X x CASE'NO. x 90-00724 x x AWARD x x X CASE SUMMARY Claimant, Raymond Gold ("Gold"), alleged that the Respondent Lester Cohen ("Cohen"), while employed by Respondent Shearson Lehman Hutton, Inc. ("Shearson"}, deviated f

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. I Yu,g Mou Chen : • Claimant i : CASE *9D-QQ723 vs : AWARD » Ch^ng-Hai Saw : Madison Chapin Associates, Inc. t Mark Bolander t t Respondents t CASE SUMMARY Pro Se Claimant, Yung Mou Chen, in a claim filed with tha National Association of Securities Dealer*, Inc. on March 9, 199C, alleged that his broker at Madison Chapin Associate*, Inc., Chenc- hai Saw, reck