N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James Robert Graham Name of Respondent Quick and Reilly, Inc. 93-03681 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 20, 1993, Claimant James Robert Graham, who appeared Pro Se, alleged that Respondent Quick & Reilly, Inc. violated Rule 405 by not knowing its customer, and

NASD Arbitration No. 93-03676 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(si Vailabh and Deepika Arora Trust Name of Respondent(s) Kennedy, Cabot & Co. REPRESENTATION For Claimant: Vailabh Arora, Fremont, California For Respondent: Mimi Park, Kennedy, Cabot & Co., San Francisco, California CASE INFORMATION Statement of Claim filed: October 25, 1993

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William R. Nelson 93-02900 Name of Respondents Quick & Reilly, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 27, 1993, Claimant William R. Nelson, who appeared Pro Se, alleged that Respondent Quick & Reilly, Inc. failed to execute his March 31, 1993 open order to sell

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between ft n f P.I aim ant George C Schwelling Case No. 00-03721 Strategic Assets, Inc. Hearing Site: Washington, D.C. RFPttPSPTMTATTOM O^ PAFTIFS Claimant, George C. Schwelling, hereinafter referred to as "Claimant": Daniel A. Ball, Lewis, Goldberg & Ball, McLean, VA. Respondent, Strategic Assets, Inc. hereinafter referred to as "Respondent" did not appear at the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frederic Rossy 93-02899 Name of Respondent Stratton Oakmont In a claim filed with the National Association of Securities Dealers, Inc. on July 26, 1993, Claimant Frederic Rossy, by and through his counsel David G. Ironside, Esq. of Maliniak & Ironside, Montreal, Canada, alleged that on or about May 23, 1991 Claimant through Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Helen E. Aven & Jean Wilde 93-02898 Name of Respondent Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 26, 1993, Claimants Helen E. Aven & Jean Wilde, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc., through its registered repres

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Previously Owned Mortgage Partnerships I 93-02886 Name of Respondent Raymond, James & Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 26, 1993, Claimant Previously Owned Mortgage Partnerships Income Fund I, through its Representative, C.E. Patterson, alleged that

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of" the Arbitration Between Name of Claimant Joyce E. and Edward White Jt Ten 93-02878 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 26, 1993, Claimants Edward & Joyce White, who appeared Pro Se, alleged that Respondent Charles Schwab & Co., Inc. wrongfully boug

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between William W. Phelps, III Claimant MA OF* TWT,, CT 1QT7 1 1-rt.kJ*-* j.i\/. >-»~.i«G * i Kennedy , Cabot & Co., Rob Forker and Gruntal & Co, Respondents Representation For Claimant: William W. Phelps For Respondents: George Kupper, Esq. of Kennedy, Cabot & Co. Case Information Statement of Claim filed: July 26, 1993 Claimant's S

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Melanie H. Spiegel & Photocom Inc. and 93-02873 Name of Respondents Harris Securities, Inc. Donald Harris and Ronald Ardt Name of Third Party Respondent Seymour Bloom REPRESENTATION OF PARTIES Melanie H. Spiegel & Photocom Inc. ("Claimants 11 ) were represented by John D. Fraser, Esq. of Shields, Britton & Fraser