N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Name of Clai Shearson Lehman Huttcr, Ire. 89-03121 Name of RespondftriTi [ s ) Ann F. Johnson Kenneth Pagago B.R. Davidson In a claim filed with the National Association of Securities Dealers, INC. ("NASD") on or about November 8, 1989, Claimant Shearson Lehman Hutton, Inc. ("Shearson") alleged that Respondent Ann F. Johnson, ("John

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maurice H. King, Jr. Claimant(s) vs. F.N. wolf & Co., inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03120 CASE SUMMARY Claimant(s) Maurice H. King, Jr. alleged that Respondent(s) P.N. Wolf & Co., Inc. engaged in misrepresentation. Respondents) maintain that there was no wrongdoing by F.N. Wolf & Co., Inc. RELIEF REQUESTED Claimant(s) M

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between William LaCouture and Dorothy Fitch LaCouture vs . Shearson Lehman Hutton, Inc. Claimants Respondent CASE* 89-03115 ORDER The undersigned arbitrators appeared for the hearing on September 27, 1990 and were advised the parties had reached a settlement. Pursuant to the National Association of Securities Dealers, Inc. Code of Arbitration Proced

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hannie Kristina Bayless, Claimant 89-03114 GRH Securities, Inc. and Nelson F. Gould, Respondents In a claim filed with the NASD on or about November 6, 1989, Hannie Kristina Bayless ("Claimant") alleged that Nelson F. Gould ("Gould") and GRH Securities, Inc. ("GRH") (collectively as "Respondents") made material misrepresentations and emitte

NASO, Arbitration ® National Association of SacurttiM OMtors, Inc. One East Broward Boulevard N.A.S.D. AWARD f"* 8 1 °°° , _ .„ ,_ Ft Lauderdaie, Florida 33301 (305) 532-7391 NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Dean K. Jennings 89-03109 Monica Chessie Paul Paine Heard before the members of the Arbitration Panel t Nalton Marrow Bennett, Esq. James A. Smith, IV A.

Arbitration N - A - S ' D - Nation., Association of Securities Dealers, inc. - Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS Three First National Plaza Chicago, IL 60602 (312) 899-4440 In the Matter of the Arbitration Between Name of Rebecca Selwyn & Sara-Ann Polit 89-03107 flame of Rasnondent(s) Merrill Lynch, Pierce Fenner & Smith Inc CRSE SOHAK? In a claim filed with the National Association

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tony J. Markay, (Claimant) vs. Charles Schwab & Co., Inc., (Respondent) Case Number: 99-02911 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Tony J. Markay ("Markay"), hereinafter referred to as "Claimant", appeared pro se. Respondent, Charles Schwab & Co., Inc. ("Schwab"), hereinafter referred to as "Respondent": Sean B. Meehan, Esq., Charles Schwab & Co

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Samuel G. Young ) Ruth F. Young ) Claimants ) ) AWARD vs. ) ) NASD #89-03104 Shearson Lehman Hutton, Inc. ) Alex Dow ) Respondents ) \ SUMMARY OF ISSUES Claimants alleged Respondents misrepresented the nature of f.heir investment in a. mutual fund, Colonial Government Securities, and failed to disclose that this investment was not

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Melinda B. Mars Claimant ) AWARD vs. ) CASE #89-03097 Sutro & Company, Inc. ) and Charles Gray Respondents ) SUMMARY OF ISSUES This case was filed with the National Association Securities Dealers, Inc., ("NASD") on November 6, 1989. Claimant alleged unauthorized trading, failure to execute a customer's order and breach of fiduciary duty in connection with

Arbitration M.A.D.D. National Auodation of Securities Oealert, inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS ' Suit* 1680 Three First National Plaza Chicago, IL 60602 - - - 1312) 899-4440 In the Matter of the Arbitration Between Kama of Claimant I SJ Bert Dolmen-Ramirez & Futurex Trading Ltd. 89-03094 Charles Schwab & Corpany, Inc. CASE SOMWT Bert Dohmen-Rarairez, as Trustee of the BCR Revocable Trust and Futurex Tradin