N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the 'Arbitration Between Name of Claimant (s| Richard A. Wheeler 89^03326 Name of Respondent t s i Shearson Lehman Hut ton, Inc. John Srailgin CASE In a Statement of Claim filed with the NASD on November 27, 1989, Claimant Richard A. Wheeler alleged that Respondents acted as follows: 1. Invested his total savings in an unsuitable over-the counter stock; 2.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William G. and Joan Shannon JTWROS Claimant(s) vs. 89-03325 Blinder, Robinson & Co., inc. Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY ^f~ Claimant(s) William G. and Joan Shannon JTWROS alleged that Respondent(s) Blinder, Robinson & Co., Inc. misrepresented material facts as to Claimants' investment. Respondent denies Claimants'

N.A.S.D. AWARD *" NATIONRL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between flcapulco Playa Ltd. 89-03320 Shearson Lehman Hutton, Inc. TSSMSS This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on February 9, 1990. Claimant alleged that Respondents engaged in the unauthorized sale of Claimant's stock. Respondents alleged that the liquidation of Claimant's account was authorized, and th

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kathleen Harper Claimant(s) vs. 89-03319 Tom Morin Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Kathleen Harper alleged that Respondent(s) Tom Morin made misrepresentations and failed to execute stock sales. Respondent(s) maintain that at no time was he ever Claimant's account executive nor did he make recommendations reg

.^ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/a l * Gracio & Neda Fabris 89-03317 nf 5 * Baraban Securities/ Inc. Hassan Hashiraian. This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on December 13, 1989. Claimants Gracio Fabris and Neda Fabris allege that Respondents Barahnn Securities Inc. and Hassan Haahanian made

NATIONAL ASSOCIATION OF SECURITIES DEALERS T In the Matter of the Arbitration Between Eric P. Tsai Claimant(s) vs. 89-03316 D.H. Blair & Co., Inc. and Michael Xirinachs Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Eric P. Tsai alleged that Respondent(s) D.H. Blair & Co., Inc. and Michael Xirinachs committed gross negligence, unauthorized trades and unfair pricing with respect to the handling of C

N.A.S.D. NATICKRL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mania of Claimant./s\ Zipora Langberg Sutro & Go. Incorporated PainoWobber Group, Inc. John "Sandy" M=Call Jr. 89-03315 For Claimant: Robert Dunn, Esq., of the lawfirm of Bancroft, Avery and McAlistsr (San Francisco, California) For Respondents: Peter Boutin, Esq., of the lawfirm of Keesal, Young and Lagan (San Francisco, California) Stateman

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marlene Katz Claimant * Case #89-3308 Award vs State Discount Brokers, Inc. Sherry Bruce and Susan Bell Respondents CASE SUMMARY Claimant Marlene Katz (hereinafter "Claimant") alleged that Respondents State Discount Brokers, Inc., Sherry Bruce and Susan Bell (hereinafter "Respondents") mishandled Claimant's account and failed to follow instr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leonard Gotshalk, Claimant v. Fortress Financial Group Ltd.; Janda & Garrington LLC; Hampton-Porter, Investment Bankers, a California LLP (hereinafter "Hampton-Porter"); Lance R. Dalton; James D. Green; John W. Laurienti; Gregory D. Walker; SmartServ Online, Inc.; and National Union Fire Insurance Co., Respondents Case Number: 99-02933 Hearing Site: Portland, Oregon REPRESENTATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Helen H. Lindstran Case # vs. 89-03303 Award Dean Witter Reynolds, Inc. Claimant, Helen M. Lindstran, alleges that Respondent, Dean Witter Reynolds, inc., through ita registered representative advised her to purchase Dean Witter High Yield Securities when she actually wanted to invest in Certificate of Deposits. Claimant contends that Responden