N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tne Matter of the Arbitration Between Name of Claimant Mary Thompson 92-00197 Name of Respondents Shearson Lehman Brothers. Inc. Lawrence Stauffer For Claimant: Horace W. Baggot. Esq., a sole practitioner. For Respondents: Kevin J. O'Brien. Esq. of Coolidge Wall Wolmsley & Lombard. CASE INFORMATION Statement ot" Claim filed: March 9. 1992. Claimant's Submission Agreement si

N.A.S.D. AHMED ASSOCOTICN OF SBCOBITISS In the Matter of the Arbitration Bel Ai trill •Umi National Association of Securities Motor*, Inc. NASD Financial Canter 33WhitehaflStreat New York, N.Y. 10004 FAX (212) 858-4389 Phyllis B. Wells 92-00135 Vf^a^MdAJBiiiBBDV • Joe 0. Walls Co., me. Foar nniimni- Snyllis B. Mails ("CLaiaant"): & M. Spetnagel, of Spetnagal For RMprrrtmt Cppenbeiner & 00. ("Oppenheiner 11

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00188 AHARD In Che Matter of the Arbitration Between Emil Gurwitz Trust, Emil Gurwitz, as TTEE Claimant vs. Prudential Securities, Inc. Larry Starr Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 20, 1992, Claimant, Emil Gurwitz who appeared Pro Se, alleged that on February 2, 1989 Respondent, Larry Starr, an a

N.A.S.D. NRTICHAL ASSQCDCTICN OF SBCDRirnS in the Matter of the Arbitration Between NASD Mb. 92-00185 C. Kyma For Claimant: In Pro Per Fbr Basrimrimt: Michael E. Cinay, Esq., of Merrill,Lynch, Fierce Passer & p«itb, New York, New York. Statemoat of Halm fileds January 20, 1332 Claimant's Subni00ioo Agreement g^g"^yl gpi Jaouazy 13, 1S92 Statenent of Anonmr filed by Seqpcodent, on» Murh 23, 1992 Seqpcpdmt, '3 subndssica Agreement algned c

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Scott K. Ginsburg, (Claimant) vs. Goldman, Sachs and Company (Respondent). Case Number: 99-3041 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Scott K. Ginsburg ("Claimant"): Joe Harrison, Esq., Robert L Wright, Esq., and Elaine A. Murphy, Esq.: Gardere & Wynne, L.L.P., Dallas, Texas. Respondent, Goldman, Sachs and Company ("Respondent"): Eric J.R. Nichols, Esq. a

N.A.S.D. AWARD NATIdttL ASSCCIKCKIJ OP SHCUBITIBS DEALERS In the Matter of the Arbitration Between Victoria M. Ayres VH. NASD #92-00184 of Ibluca Pacific Securities Cbrp. William Alvorsoa For Claimants Steven Vtasaernen, Esq. and Sarah Xucas, Eaq. of Scdgtdcfc, l^ g»n ItCBOCiSCO/ < j"T ^ fnmA * For Reapcndantai Ibluca Pacific Securities (Tbluea) t gh t 1 '** > M. Jaffa, Eaq. , William Alvacaen (Alvaraco) i Micha«l

PUBLIC \ NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Golden C. Boyle, D.V.M. Claimant vs. Shearson Lehman Hutton, Inc. Michael K. Rupp Respondents CASH 492-00183 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 20, 1992, Claimant, Colden C. Boyle, DVM, who appeared Pro Se, alleged that in June 1989 he opened a Money Marke

PUBLIC NATIONAL ASSOCIATION C? SECURITIES DEALERS, INC. CASE #92-00182 AWARD In the Matter of the Arbitration Between John C. Gray, TTEE Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 20, 1992, Claimant, John C. Gray who appeared Pro Se, alleged that in June 1989 Respondent Merrill Lynch, Pierce, Fenner & Smith,

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00181 AWARD In the Matter of the Arbitration Between Harris Lowenhaupt Claimant vs. Shearson Lehman Brothers, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 20, 1992, Claimant, Harris Lowenhaupt, who appeared Pro Se, alleged that Respondent, Shearson Lehman Brothers, Inc. breached its fiduciary duty

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS " In the Matter of the Arbitration Between Name of Claimant John Slipek 92-00179 Name of Respondents American Bond Group, Inc. Joseph Minieri REPRESENTATION For Claimant John Slipek ("Claimant") was represented by: Patrick T. Collins, Esq. of the law firm of Franzblau, Dratch & Friedman, Roseland, NJ. For Respondent Joseph Minieri ("Minieri") was represented by: Edward R. Curt