NATIONAL ASSOCIATION OF SECURITIES DEALERS In the. Matter of the Arbitration Between Martin and Shirley Manson Claimant(s) vs. 89-03259 Prudential-Bache Securities, Inc. and Mark Wuensch Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Martin and Shirley Manson alleged that Respondent(s) Prudential-Bache Securities and Mark Wuensch made unauthorized trades and misrepresentations. Respondent(s) maintain that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cameron J. Syfce 89-03258 of Iteapondent s FinNet Securities, Inc. David F. Lutz Cameron J. Syke ("Claimant") alleged that David F. Lutz, a registered representative with FinNet Securities, Inc. (Lutz and FinNet are collectively referred to herein to as "Respondents") made material misrepresentations and emissions of fact in connection with the

N.A.S.D. AWARD r- NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Scher Defined Benefit Pension Plan 89-03253 of Respondgn't is} Advest, Inc. CASE SUMMARY Claijnant alleged that the Respondent, who maintained and managed an account for the Pension Plan, acted negligently and recklessly in violation of its fiduciary duties by engaging in high risk call option purchases and transactions that were unsuita

NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Willis H. and Judy Waldo Claimant(a) vs. 89-03248 Dean Witter Reynolds, Inc. and Harvey S. Stober Respondent(s) •ones OF ARBITRATION AWARD CASE SUMMARY Claimants) Willis H. and Judy Waldo alleged that Respondents) Dean Witter Reynolds, Inc. and Harvey S. Stober engaged in fraud and misrepresentation in connection with the purchase of stock.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mark J. Chambers Claimant(s) vs. 89-3246 Wall Street Clearing Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Mark J. Chambers alleged that Respondent (s) Wall Street Clearing Co. cleared a trade that was unauthorized by the Claimant and are now demanding payment. Respondent (s) maintain that they did nothing more than

N.A.S.D. AWARL) NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Catherine L. Hasbrouck 89-03244 Name nf Ttegpyvtem- ( s | A.G. Edwards & Sons, Inc. CASE SUMMARY In a claim filed with the NASD on or about November 20, 1989, Catherine L. Hasbrouck ("Claimant") alleged that A.G. Edwards and Sons, Inc. ("Respondent") misrepresented material facts in connection with bonds recommended to Claimant and purchased f

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Dean and Marcia McHan Clairaant(s) vs. 89-03241 Fidelity Investments and Fidelity USA Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dean and Marcia McHan alleged that Respondent(s) Fidelity Investments and Fidelity USA are guilty of breach of contract and negligence. Respondent (a) maintain that to award money damages

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Harry Shum ) ) Case Ho. 89-03240 G.K. Scott & Co. Inc. Heard before the Arbitrator» Leonard H. Davidson, Esq. CASE STMAKT This claim was filed with the NASD, Inc. on November 17, 1989. The hearing was conducted in Fort Lauderdale, Florida on August 13, 1990 with a total of one session. Claimant, Harry Stan ("Shun"), alleged that

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among Samuel T. Oigate Claimant vs. Donate DeMarinis and Jay Vermonty Respondents Case #89-03239 Award CASE SIBtMRY Claimant Samuel T. DIGate (hereinafter "Claimant"), alleged that Respondent Donato DeHarinis (hereinafter "DeMarinis") and Jay Vermonty (hereinafter "Vermonty") made material misrepresentations to Claimant and failed to properl

N.A.S.D. AWARD «' NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimanti8V Janet M. Gill ) ) 89-03237 IJagj^jjJ^RgSjggn^gnjSjJ^L ) Dean Witter Reynolds, inc. ) Robert F. Finnigan ) Heard before the Arbitrator: Stephen A. LeClair, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on November 17, 1989. The hearing was conducted in Fort Lauderdale, Florida on August 28, 1990, wi