/V4SO N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of Securities Dealers, Inc. NASD Rnancial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between Hoffer Flow Controls, Inc. Pension and Profit Sharing Trusts vs Case * 89-03429 of its Shearson Lehman Mutton, Inc. J. Palmer Patten Any Shui Claimant, Hoffer Plow Controls, Inc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mearl E. and Susan A. Gibbs Claimant(s) vs. 89-03426 The Stuart-James Co., Inc. and Robb Bartlett Ivey Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Mearl E. and Susan A. Gibbs alleged that Respondent(s) The Stuart-James Co., Inc. and Robb Bartlett Ivey fraudulently misrepresented as to investment Claimants made through Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among Gloria Y. Chin Claimant * Case 89-03424 Award vs. R. F. Lafferty & Co., Inc. * Roy A. Foulke, Jr. Respondent * CASE SUMMARY Claimant, Gloria Y. Chin ("Claimant") alleged that Respondents R. F. Lafferty & Co., Inc. and Roy A. Foulke, Jr. ("Respondents") failed to handle Claimant's discretionary account in accordance with her stated investme

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant s Joan M. Brown 89-03423 of Lee E. Mikles In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about Decanter 6, 1989, Joan M. Brown {"Claimant") alleged that Lee E. Mikles ("Respondent") while employed at Drexel Burnhara Lambert, Inc. made unsuitable reconnendations and breached his fiduciary du

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Derek M. Gorg Claimant(s) vs. 89-03421 Dean Witter Reynolds, Inc. and David A. West Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Derek M. Gorg alleged that Respondent(s) Dean Witter Reynolds, Inc. and David A. West failed to transfer funds in a timely manner. Respondent(s) maintain that they were neither negligent nor

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Roseanne Riggs, Claimant v. Metropolitan Life Insurance Company, Respondent Case Number: 99-02937 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Roseanne Riggs: Joel E. Baruch, Esq. Law Offices of Joel E. Baruch, P.C. Irvine, California For Respondent Metropolitan Life Insurance Company: Arthur F. Silbergeld, Esq. Proskauer Rose LLP

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Roger A. Arkebauer, Claimant 89-03420 Graystone Nash, Inc., Thomas Duane Binning, Patrick Comerford, and Thomas Vincent Ackerly, Respondents In a claim filed with the NASD on or about December 6, 1989, Roger A. Arkebauer ("Claimant") alleged that Thomas Binning ("Binning") made false and misleading statements of material facts and faile

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Salem Volunteer Fire Department, Inc. Claimant vs. McGinn, Smith & Co., Inc. VS. Robert Hunter Respondent Third-Party Respondent Case No. 89-03415 AWARD CASE SUWARY Claimant Salem Volunteer Fire Department, Inc. alleged that Respondent McGinn, Smith & Co., Inc. breached its contractual obligations to the Claimant by failing to proper

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Kathleen M. Borgstrom, ) individually and on ) behalf of, Marie C. Love, ) Julie M. Borgstrom, ) James P. Borgstrom, Mary S. ) Borgstrom, Anne L. Borgstrom, ) and John D. Borgstrom Claimants ) vs. ) AWARD Dean Witter Reynolds, Inc. ) James Tallen Respondents ) CASE NO. 89-03412 SUMMARY OF ISSUES Claimants alleged Respondents misrepresented the

N.A.S.D. AWARD tlATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Amelia M. Swazey 89-03409 , inc. Ttanas Cechini Claimant alleged that Respondents made recommendations to purchase highly risky, speculative securities that were unsuitable Cor the Claimant who had no prior investment «xperienee. Claimant further alleged that the Respondents churned her account and caused the account to be leveraged wit