NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Solin/Solin Investments Claimant(s) vs 89-03463 RAF Financial Corporation and Securities U.S.A. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Solin/Solin Investments alleged that Respondent(s) RAF Financial Corporation and Securities U.S.A. failed to send them registration forms for "loyalty shares" for which they qualifie

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Charles E. Sayre, Jr. 89-03460 Name of Respondents 1 Dean Witter Reynolds, Inc. Daniel Skelton Eric C. Johnson Kelli M. Riley CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about December 12, 1989, Charles E. Sayre, Jr. alleged that Eric C. Johnson, Dean Witter Reynolds, Inc.

N.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Margaret H. Pierce ----------- . _ 89-03459 Shearson Lehman Hutton, Inc. In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about Decanter 12, 1989, Margaret H. Pierce ("Claimant") alleged that Shearson Lehman Hutton, Inc. ("Respondent") failed to execute an order to transfer and liquidate her account in a timely

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William B. Hoggard Claimant(s) vs. 89-03457 Marshall Davis, Inc. and Jim Richards Respondent(s} NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) William B. Hoggard alleged that Respondent(s) Marshall Davis, Inc. and Jim Richards did not execute Claimant's sell order. Respondent(s) did not answer. RELIEF REQUESTED Claimant (s) William B

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Quentin Mitchell, Claimant vs. First Republic Group, LLC. and Bear, Stearns Securities Corp., Respondents. Case Number: 99-02938 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimant, Quentin Mitchell, hereinafter referred to as "Claimant": Quentin Mitchell, Stanwood, Washington Respondent, First Republic Group, LLC.: Anthony R. La Grega, First Republic Group, LLC.,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Henry W. Kingsbery Claimant(s) vs. 89-03455 Fidelity Brokerage Services, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Henry W. Kingsbery alleged that Respondents) Fidelity Brokerage Services, Inc. mishandled a trade. Respondent maintains that they on all occasions followed Claimant's instructions. RELIEF REQUESTE

N.A.fi.n. Arbitration National Ataoctatton of Securities DMtara, inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS 4 25 California St.. Rm. 1400 San Francisco. CA 94104 (415) 781-3343 In the Matter of the Arbitration Between FAX; (4 ' 5) 362 * 9948 Name of Claimant/si Monobind Inc. Employees Retirement Trust 89-03454 Dean Witter Reynolds, Inc. This case was filed with the National Association of Securities Dealers,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PaineWebber, Inc. Claimant(s) vs. 89-03443 Kyle E. Marburger Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) PaineWebber, Inc. alleged that Respondent(s) Kyle E. Marburger has not paid Claimant amount owed on debit balance. Respondent has not answered the claim. RELIEF REQUESTED Claimant(s) PaineWebber, Inc. requested da

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PaineWebber, Inc. Claimant(s) vs. Christopher Felch Respondent(s) NOTICE OF ARBITRATION AWARD 89-03442 CASE SUMMARY Claimant(s) PaineWebber, Inc. alleged that Respondent(s) Christopher Felch ordered the purchase of certain securities in his cash account. On July 6, 1989, the settlement date, Respondent requested additional shares be purchased

N.A.S.D, AWARD NMTCNfiL ASSOCUKTICK OF SECURITIES EEHJ3RS In the Matter of toe Arbitration Between of D.K. Seltsam 89-03434 Maotport Financial Group, Inc.,, Jerome S. Stain, RiJ >pft'L M. FenxBBn, Silveecro F. Vencziano, and Securitieo Settlaneat Cbxp. daioant, D. K. Sal team «•« rvpreaeDted by Jbaqpb P. » o£ Hsr^anstem, Socagfaan. r Sbockaabcz^f McKlbcLclc ft Gould of St. Louia, Miaaouri. Bespondent, Weatport Financial G