NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ti11ie Spergel vs. Spencer-Winston Securities Corp. Claimant AWARD Respondent CASE #89-02907 CASE SUMMARY Claimant alleged that Respondent failed to tender shares during a tender of Polaroid. Respondent maintained that Claimant had not properly consented to the tender and hence they could not process the shares. RELIEF REQUESTED Claimant see

N.A.S.D. AWARD NftTICNftL ASaXMATllM OP SECDBITSS TTFBTERS In the Matter of fchc Arbitration Between of < ^ KXB Enterprises, Katharine M. Barzen, John C. Baxzen, John A. Barzen, Tiioothy J. ^ Mr ^ mn s Mind. Baxzen and Nbxnest Bank, £ onnarly knowi as the NbrMmniil ..... NhHnreil Bank, aa Trustee for the Josephine M. Maxonay Trust and Timothy < ?• Marcney Trust 89-02880 Lehman Button, lac. , as in. interest to the E. F.

Arbitration N.A.b.D. AWARD s> NATIONAL ASSOCIATION OF SBCDRITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (3) Kills Elinors 89-02875 National Association of Securities Dealer*, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Shearson Lehman Brothers The PoUT^prm-.qui^hTrqy Ccupany Inc. For Claimant: Frank S. Holleman, III, Esq., of Wyche Burgess Freanan &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Myra Scher Merrill Lynch, Pierce Fenner & Smith Robert A. Feigenbaum Inc) Case No.89-02874 Heard before the the Arbitrator: Arieh Leo Douer CASE SIMftRY This claim was filed with the NASD, Inc. on October 17, 1989. The hearing was conducted in Fort Lauderdale, Florida on August 14, 1990, with a total of two sessions. Claimant, Mjrra

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony DePalma Claimant(s) vs. 89-02871 Joseph M. Lynch Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Anthony DePalma alleged that Respondent(s) Joseph M. Lynch committed unauthorized trades in Claimant's account. Respondent denies Claimant's allegations. RELIEF REQUESTED Claimant(s) Anthony DePalma requested damages

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SFCURITIES DEALERS "in the Matter of the Arc-iration Between Santrain S. Arora -ind '"89-02869 Merrill Lynch, Pierce Fenner & Smith, Inc.; Merrill Lynch, Pierce Fenner & Smith, Ltd.; and ?ferrill Lynch Interne-ional Bank, Ltd. In a statement of claim filed with the NASD on or about October 17, 1989, Claimant Santrain S. Arora ("Claimant") alleged that he was solicited by Respondents Merrill Lyrjch, Pierce F

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Sten Molin, (Claiimint) Case Number: 99-02853 vs. E*Trade Securities, Inc., (Respondent) Hearing Site: New York, New York Claimant, Sten Mo)in Maurer, Esq., Ridg REPRESENTATION OF PARTIES in ("Molin"), hereinafter referred to as "Claimant": Elisabeth Seieroe field, CT, Respondent, E*Trade Mark T. Drooks, E Securities, Inc. ("E*Trade"), hereinafter referred to a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) LARRY P. AND LINDA M. PACOS ) Claimant(s) ) Case No. 89-02868 and ) SHEARSON LEHMAN MUTTON, INC. AND ) CARLOS VILLANUEVA ) Respondent(s) } CASE SUMMARY Larry P. and Linda M. Pacos ("Claimants") alleged that Carlos Villanueva^, a registered representative of Shearson Lehman Hutton, Inc. (Shearson and Villanueva are collectively referred to her

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Constance Wendell Claimant(s) vs. 89-02864 Norman Berryessa Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Constance Wendell alleged that Respondent(s) Norman Berryessa failed to account for $300.00 of the total sum to be invested on Claimant's behalf, and sold securities in Claimant's account against Claimant's wishes, cau

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John J. Schifko Claimant vs. Charles Daniel Stephens Respondents OATH AND AWARD OF ARBITRATOR 89-02863 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or related by blood or marriage to any of the