NATIONAL ASSOCIATION OF SECURITIES DEALERS . 7 In the Matter of the Arbitration Between Leon A. Illerbrun Clairaant(s) vs. Larry R. Johnson and R.B. Marich, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03200 CASE SUMMARY Claimant(s) Leon A. Illerbrun alleged that Respondent(s) Larry R. Johnson and R.B. Marich, Inc. negligently and fraudulently mishandled Claimant's account held with Respondent. Respondent(s) deny Cla

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-02925 Frances O. Drummond and Patricia M. Drummond, claimants vs. Charles Schwab & Co. and Wendi Cowdrey-Sellar, respondents. ATTORNEYS: Claimants appeared Pro Se., Palm Springs, CA. For Respondents Charles Schwab & Co. and Wendi Cowdrey-Sellar appeared Amir Tadjedin, Esq., in-house counsel for Charles Schwab & Co., San Fransisco, CA. DATE FILED: June 28, 1999 CASE SUMMARY: Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gabor Dobai Claimant(s) vs. 89-03199 Quick & Reilly, Inc. Respondents) NOTICE OF ARBITRATION AWARD CASE SUMMARY Clairaant(s) Gabor Dobai alleged that Respondent(s) Quick & Reilly, Inc. failed to properly execute Claimant's sell orders. Respondent maintains that the orders were entered as they were received at good prices on the prevailing mark

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Greg and Deborah Hill JTTEN Claimant(s) vs. 89-03198 First Allianca Securities, Inc., William F. Lincoln and Dawn Dailey Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(a) Greg and Deborah Hill JTTEN alleged that Respondent(s) First Alliance Securities, Inc., William F. Lincoln and Dawn Dailey misrepresented material facts as t

Arbitration < 0 N.A.S.D. AWARD National Association of Securities Dsslsrs, Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS ° w &« Broward Boulevard Suite 1000 -= r ; -i—r -r-. : = Ft- Uuderdate, Rorida 33301 In the Matter of the Arbitration Between ) (305) 522-7391 Name of Claimant. 13) ) David & Barbara Oliver ) ) Case No. 89-03197 Name of Respondent^) } Merrill Lynch, Pierce, Fenner ) and Smith Inc. ) and Thomas Greenbaum )

N.A.S.D. ANARD. NATIONAL ASSOCIATION OF SECURITIES DEALERS Tn the Matter of the Arbitration Between Name Of Harold, Daniel and Prisci Eidet 89-03195 Name of Respondent ( s ) Allied Capital Group, Inc. Bill Hire RAF Financial Corporation RFC Clearing and Paying Agent Robert Fitzner Richard Spath Edward Fay Peter Mercaldi (TP PAW IKS Claimant Daniel Eidet, appeared on his own behalf and on the behalf of Harold and Prisc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) \ William J. Hillery Claimant ) vs. ) AWARD ) Smith Barney, Harris Respondent ) CASE NO. 89-03192 Upham & Co., Inc. ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on November 13, 1989. Claimant alleged an improper execution of an option trade of Standard & Poor 100 Index Puts. Respondent

NASD Arbitration N.A.3.LI. NOTIONAL ASSOCIATION OF SECURITIES DEALERS In the~ Matter of the Arbitration Between Name of Claimant(s\ William H. Corcoran 89-03188 Name of Reaponderytf s > Bear Stearns & Company Rodecker & Conpany Steven Babiuk National Anodatfon of Securities Outers, Inc. NASO Financial Center 33 Whitehall Street New York, New York 10004 For Claimant: Anthony V. Trogan of Weisman, Trogan, Young & Schlos

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between) Beryls & Mark G. Lee ) ) Case No. 89-03185 Name of F Stanley Levin Norman Bobbins Jeff Farber Alvin Rosenblum Heard before the Arbitrator: Michael R. Casey, Eaq. CASE SUMMARY This claim was filed with the NASD, Inc. on November 14, 1989. The hearing was conducted in Fort Lauderdale, Florida on October 18, 1990 with a total of o

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Christopher Ward Demba Claimant(s) vs. 89-03183 Wall Street Clearing Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Christopher Ward Demba alleged that Respondent(s) Wall Street Clearing Co. wrongfully cancelled four sales transactions in Claimant's account. Respondent maintains that it routinely processed the transacti