NATIONAL ASSOCIATION OF SECURITIES DEALERS "*• In the Matter of the Arbitration Between Lary Stuart Mahoney Claimant(s) vs. 89-03366 K. Brett Thackston and Wheat First Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY tf Claimant (s) Lary Stuart Mahoney alleged that Respondent (s ) K. Brett Thackston and Wheat First Securities, Inc. made misrepresentations. Respondent Wheat First Securities, Inc. mai

N.A.S.D. AWARD NOTIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas Reams Case f 89-03359 vs Award Bfiapsnrifln*r ( s V Gruntal & Co., Inc. Russell Siegel (Third-Party Claimant) vs. Saul Federman (Third-Pary Respondent) Claimant alleges that ha placed an order with Russell Siegel, the registered representative with Gruntal & Co. to purchase OEX puts and that he failed to execute the order. Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sheafen Frank Kuo Tina C. Kuo Claimants vs. Security -Pacific Brokers, Inc. Respondent Heard before: CASEf 89-03358 Martin Fogelman, Esq. ... Public Arbitrator Henry H. Baiter Public Arbitrator Joseph E. DaGrosa Industry Arbitrator CASK SUMMART Claimants alleged Respondents mishandled certain LTV Corp. transactions and secretly created a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jack H. Schonzeit and Judith Secular, TTEES Claimant(s) vs. Bear, Stearns & Co./ Inc. vs. Sloate, Weisman, Murray & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03351 CASE SUMMARY Claimant(s) Jack H. Schonzeit and Judith Secular, TTEES alleged, that Respondent(s) Bear, Stearns & Co., Inc. was negligent in informing her th

Arbitration National Association of Securities Dealers, Inc. Suite 1680 Three First National Plaza Chicago, IL 606C2 (312) 899-4440 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between" Matne nf D Si S Investment Co., a partnership between Richard D. Slonkowaki and Raymond Dykema 89-03347 Shearson Lehman Button, Inc. John F. Noonan In it's Statement of Claim, received by t

ffL NKEIQNMi ASSCdXnCN ( In the Matter of the Nans of RenpondBi K.W. Brown & Co., K *aT UMM^^^M YW^B^B.^4 .w. Brown invest Wendy Brown N.A.S.D. AWARD •y SEUURlTnS LlALEkS Arbitration Between ) > t(s) ) " ) ) ) ) ) it (a) ) HEc. d/b/a ) tnsnts ) ) ) ) ) Arbitration National Association of SscurltiM (testers. Inc. Ona East Broward Boulevard Suits 1000 R

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cora Vlach and Viola J. Spencer JTWROS; Cora Vlach and Muriel C. Sather Claimant{s) V3. 89-03334 Donald Berg Respondent(s) NOTICE OP ARBITRATION AWARD - CASE SUMMARY Claimant(s) Cora Vlach and Viola J. Spencer JTWROS; Cora Vlach and Muriel C. Sather alleged that Respondent(s) Donald Berg engaged in unauthorized transactions and invested Cl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dale K- Nohre, Individually and as Beneficiary of Dale K. Nohre's IRA, Jo Duncan Nohre, Individually and as Beneficiary of Jo Duncan Nohre's IRA, Kendall R. Nohre, Dale D. Nohre, Zilpha Nohre, Maren E. Mason, Individually and as Beneficiary of Maren E. Mason's IRA, and Elwood H. Mason, Individually and as Beneficiary of Elwood H. Mason's IRA, Claimants v. Stock USA, Inc., James Ge

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration B e t w e e n ) CRICKET RICHMOND, ) Claimant, ) vs. } Case #89-03233 ) Award DEAN WITTER REYNOLDS. INC., ) EASTER KRAMER GROUP SECURITIES, IHC. ) and ARTHUR F. SERIO, ) Respondents. ) Heard before the members of the Arbitration Panel: Myron Dunay, Esq. Arnold Sarrow Charles P. Johnson Jr., Esq. •"* * CASE SUMMARY

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the -Matter of the Arbitration Between Hilda B. Druiranond and Norman C. Oruimnond vs. Claimant( 89-03328 ISFA Corp. Respondent(a) AMENDED NOTICE OF ARBITRATION AWARD THIS NOTICE OF ARBITRATION AWARD SUPERCEDES THE NOTICE OF ARBITRATION AWARD DATED MARCH 6, 1990 CASE SUMMARY Claimant(s) Hilda B. Drummond and Norman C. Drummond alleged that Respondent(a) ISFA Corp. failed t