_ _ ._ ^^mgm Arbitration ^"^*~*< & N.A.S.D. AWARD National Association of Securities Dealers, Inc. NATICN&L ASSOCIATION OF HJflAttUTnaa DEALERS NASD Financial Center 33 Whitehall Street in the Matter of tha Arbitration Between New York ' New York 10004 Estate of Morton Mailer VS 90-00680 Name of Dean Witter Reynolds, me. Julian H. Gingold Heard before the members of the Arbitration Panel; Mama _ Edward N. sills Public

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Fthe Matter of the Arbitration Between Patrick Merlehan Claimant vs. Robyns Capital Corporation and Castleton Rhodes, Inc. Respondents AWARD Case #90-00679 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 6, 1990 Claimant Patrick Merlehan alleged that he sold 250,000 shares of stock for $43,000.00 and a confirmation was issued and a month

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Muriel A. Olsen Name of 90-00678 Martin Lonski Dave Hutchison Hutchison Financial Corporation In a claim filed with the National Association of Securities Dealers , Inc. ("NASD") on or about March 6, 1990, Muriel A. Olsen ("Claimant") alleged that she was not a suitable investor in the stock of ftitchison Financial Group, Inc. Clainant also

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) John B. Nardone Claimant ) ) vs. ) AWARD ) Wilshire Discount Securities ) and Gene Roach Respondents ) CASE NO. 90-00669 ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 5, 1990. Claimant alleged that Respondents failed to provide a prospectus with Claimant's purchase of

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant ( Sabih Kalidy , ; an4 ' '00-04683 , ' ' ' , , Oklahoma City, Oklahoma Name of Respondent / 11 : ' • • , i Merrill Lynch, Pierce, Fenner & Smith, Inc. , . REPRESENTATION OF PARTIES i . . .'r, '' ' Sabih Kalidy, hereinafter referred to as ("Claimant") was represented by Jack L. Freeman, Esq. of the firm Jack

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen Name of Michael A. Geller 90-00664 Oppenheimer & Co., Inc. David Rhodes Heard before: Name Public /Indus try Ted M. Rosen, Esq. Public Arbitrator •flreodore Kimelman Industry Arbitrator Robert A. Castillo Public Arbitrator The Claimant was represented by Paula G.A. Ryan, Esq. from the lawfirm of Parker Duryee Rosoff & Haft. Tte Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^a| Gary M. Leeds 90-00660 Name of Respondents) Prudential-Bache Securities Inc. Albert Ginsberg This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 5, 1990. Claimant alleged, in connection with the sales and purchases of "puts" of United Airlines stocks: (1) violation of feder

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of niaimant:fsl Peter M. de Bakker 90-00652 Name of Fidelity Investments Claimant alleged that the Respondent did not invest his IRA funds as he instructed and did not correct the situation for him after giving further instructions to do so, Respondent maintained that the Claimant failed to follow the correct instructions in establishing his inv

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between ) ) Yvonne Van Boeckel ) Claimant ) ) AWARD vs . ) ) NASD NO. 90-00651 Waldron & Co. f Inc. ) Charles Hoffman ) Donald Duffy ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 5, 1990. Claimant alleged: lack of suitability in the purchase of securi

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Andrew Skurowitz and Avia Skurowitz Claimant(s) vs« 90-00650 Brown & Company Securities Corp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Andrew Skurowitz and Avia Skurowitz alleged that Respondent(s) Brown & Company Securities Corp. improperly permitted Andrew Skurowitz to trade in options. Respondent(s) maintain th