NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael J. Weymier Claimant(s) ARBITRATION vs. AWARD 89-03408 Ablestrong Securities d/b/a First Midwest Securities, Inc. and Drake & Co. investment Services Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Michael J. Weymier alleged that Respondent(s) Ablestrong Securities d/b/a First Midwest Securities, Inc. and Drake & Co. Investment Service

Arbitration National Association of Securities Oeatem, Inc. 425 California St.. Rnv 1400 San Francisco. CA 94104 (415) 781-3343 FAX: (415) 362-9946 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mama of Joseph K. Bradley 89-03405 Name of Respondent I s ) University Equities Corp. TSSTIRS This case was filed with the National Association of Securities Dealers, Inc. ("

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward E. Atiyeh Claimant(s) ARBITRATION vs. AWARD 89-03403 E.F. Hutton fr Co. (Shearson Lehman Hutton, Inc.} Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Edward E. Atiyeh alleged that Respondent(s) E.F. Hutton & Co. (Shearson Lehman Hutton, Inc.) owes Claimant for missing dividend. Respondent did not respond. RELIEF REQUESTED Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gregory LeCerff Claimant(s) vs. 89-03396 Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gregory LeCerff alleged that Respondent(s) Blinder, Robinson & Co., Inc. misrepresented material facts as to Claimant's investment with Respondent. Respondent denies Claimant's allegations. RELIEF REQUESTED

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Andrew M. and Nancy J. Germain vs. Fidelity Brokerage Services, Inc. Claimant(s) Respondent(a) NOTICE OF ARBITRATION AWARD 89-03383 CASE SUMMARY Claimant(s) Andrew M. and Nancy J. Germain alleged that Respondent(s) Fidelity Brokerage Services, Inc. provided an erroneous quote to induce the purchase of an option and then failed to settl

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) DAPHNE K. VIEROW ) Claimant ) and ) ) CASE NO. 89-03378 PIPER, JAFFRAY & HOPWOOD, INC. AND ) LYNN SANEM ) Respondents ) CASE SUMMARY Daphne K. Vierow ("Claimant") alleged that Lynn San«n r a registered representative of Piper, Jaffray & Hopwood, Inc. (Sanem and Piper are collectively referred to herein as "Respondent") recommended the

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between:, Rose Mary Johnson, Claimant vs. Dean Witter Reynolds Inc., Respondent. Case Number: 99-02936 Hearing Site: Via Conference Call REPRESENTATION QE PARTIES Claimant, Rose Mary Johnson, hereinafter referred to as "Claimant": Rose Mary Johnson, Fairbanks, Alaska Respondent, Dean Witter Reynolds Inc. ("Dean Witter"), hereinafter referred to as "Respondent": Paul D. Allen, Esq.,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Betweenx x Maria Panaro x Claimant x x CASE NO. vs. x 89-03376 X Dominick & Dominick, Inc. x ORDER Respondent x x On March 5, 1991, the undersigned arbitrators convened to hear the controversy between the parties as set forth in submissions to arbitration signed by the Claimant Maria Panaro on November 30, 1989, and by Respondent Dominick & Dominick

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Barry Mott Claimant(s) vs. 89-03374 Ken Ashe Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Barry Mott alleged that Respondent(s) Ken Ashe churned Claimant's account. Respondent denies Claimant's allegations. RELIEF REQUESTED Claimant(s) Barry Mott requested damages of One Thousand Six Hundred Fifty Dollars and No Cents

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony Fieldhouse Clairaant(s) vs. 89-03370 Fidelity Brokerage and Philadelphia Options Exchange Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Anthony Fieldhouse alleged that Respondent(s) Fidelity Brokerage and Philadelphia Options Exchange deprived Claimant of a fair premium. Respondent Fidelity Brokerage Services, Inc.