N.A.S.D. AWARD NATIONAL ASSCCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Arthur Davis, Jr. 89-01589 Name of Respondents) Shearson Lehman Hutton, Inc. Mark W. Bailey StMftRY OF TSSBES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 31, 1989. ^i^jnwni- iii^ttU -j^t. 'Respondents engaged in •.wrongful cr,r.jjuct inciu-iing negligence, unsuitability of investment

U.A.S.D. AWARD •IATIOKRL ASSOCIATION OF SECURITIES DEALERS ;n the Matter of the Arbitration Between Name of Claimants Hsue C. & Tarn Tung 89-01585 Name of Respondent. Anton J. Gerdes, Jr. 1 • >r Claimant: Warren C. ".v'hite, Attorney at Law. '•'•< r Respondent: Jeffrey S. Rosen, Esq. of De Martino Finkelstein Rosen Virga •• Boraks. statement of Claim filed: May Jl, 1989. laimant's Submission Agreement signed on: June 3, 1989. ;

MAY 0 '• RECD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Elvira Zubiaurre vs. Mikai & Co., Inc. Claimant Respondent AWARD #89-01537 Case Summary Claimant Elvira Zubiaurre alleged that Respondent Mikai & Co., Inc. misrepresented a high risk investment as a safe investment creating a loss to the Claimant when the value of the stock dropped significantly. Respondent Mikal & Co., Inc. did not

3.Q/09/00 15:23 Ol 713 840 0038 ALONSO CERSONSKY ®002/005 ' -- Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard Herbertson KitaKa, Claimant vs. J.B, Oxford & Co, Respondent Case Number: 99-3416 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant. Richard Herbertson Kitaka , hereinafter referred to as Claimant referred to as "Claimant": was represented by John Courade, Esq., Austin, TX. Respondent, J. B. O

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marianne Dettinger Claimant vs. Mikal & Co., Inc. Respondent AWARD #89-01536 Case Summary Claimant Marianne Dettinger alleged that Respondent Mikal & Co., Inc. misrepresented a high risk investment as a safe investment creating a loss to the Claimant when the value of the stock dropped significantly. Respondent Mikal & Co., Inc. did not file a Stateme

NATJORtffiiBOCtATlOM OF SECURITIES DEALERS, INC. in tnt Mftitr or tnt Arbitration 9ttwten LARRY 0. L1LE Claimant and CASE NO. 39-01523 ALLIED CAPITAL GROUP, INC. Respondent CASE SUMMARY In • claim filed with tht NASO en or about May IS, 1989, CUIamt Urry 0. Lilt (•CUlBMt") alleged that Respondent All ltd Capital, Inc. Mdt material mlsrtprtstntatlons to induce Mm to purchut comon stock of OTC AmHca and Davin Enttrprlsts. In its ansMtr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Neil R. Gore Sandra S. Gore Claimants vs. Shearson Lehman Brothers, Inc. Elias Argyropoulos Respondents AWARD NASD NO. 89-01493 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 19, 1989. Claimants alleged: failure to execute, lack of suitability -and- misrepresentation in th«

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of the Arbitration Between ) Richard and Phyllis Haley Claimants ) vs. ) AWARD PaineWebber, Inc. and Respondents ) CASE NO. 89-01461 Donald Steelier ) ) SUMMARY OF ISSUES This case was filed on May 16, 1989. Claimants alleged that: I. The prospectus of the Putnam High Yield Trust upon which they relied in purchasing shares therein from Respondents did not disclose that dist

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles & Terry C. Marshall Claimants vs. AWARD #89-01399 Thomson McKinnon Securities, Inc. Greg Williamson Respondents Case Summary Claimants Charles and Terry C. Marshall (hereinafter "Claimants") alleged that Respondents Thomson McKinnon Securities, Inc. (hereinafter "TMS") and Greg Williamson (hereinafter "Williamson") placed Claimants in an u

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Dorothy A. Petrushka Claimant Case #89-01393 vs. AWARD Individual Securities Ltd., Robert Catoggio and Donrinick Investor Services Corp. Respondents CASE SUWARY Claimant Dorothy A. Petrushka alleged that Respondents Individual Securities Ltd., Robert Catoggio and Donrinick Investor Services Corp. (collectively, "Respondents") purchased and s