NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Steven H. Wilcomb, ) Individually and On Behalf ) of Chad H. Wilcomb, and ) Susan K. Wilcomb Claimants ) ) vs . ) AWARD ) Bliss Securities, Inc. ) ( formerly known as ) Guildcor Financial, Inc.) ) Stephen Smith, & John Davis Respondents ) CASE NO. 89-02816 SUMMARY OF ISSUES Claimants alleged Respondents breached their fiduciary duty,

N.A.S.O. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiinantfs} Phillips J. Goodenough & Bartolero 89-02815 PaineWebber, Inc. Lawrence W. Daly For Claimant: Me. Robert RusJcy, Esq. of Hanson, Bridgett, Marcus, Vlahos ana Rutty. For Respondent, Paine Webber, Inc. : William Montgomery* Esq. of PaineWebber, Inc. For Respondent, Lawrence W. Daly: Michael E. Myers of Gordon & Rees Statement o

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert and Kathleen Leo vs. Joseph Bonura and Wall Street Clearing Co. Claimant(s) Respondent(s) NOTICE OF ARBITRATION AWARD 89-02809 CASE SUMMARY Claimant(s) Robert and Kathleen Leo Joseph Bonura and Wall Street Clearing Co.< i __ securities for Claimants' account without autnonzitioiVT\a«d that Respondent Wall Street Clearing Co.

N.A.S.D. AWARD NATIONfiL ASSOCIATION OF SECURITIES DEAI£FS In the Matter of the Arbitration Between Jack & Janice Sundheim Name of Respondentfsl Finnet Securites Philip M. Georgeson Robert Young In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on October 11, 1989, Claimants Jack and Janice Sundheim alleged that Respondent Robert Young, while acting as an agent or enployee of Power Securities Co

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of :.ie Arbitration Between ) BOB EDWARD KENT AND MAXINE KENT ) Claimant(s) ) Case No. 89-02807 and ) \ MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. AND RILEY ETHERIDGE Respondent(s) CASE SUMMARY In a claim filed with the NASD on or about October 11, 1989, Claimants Bob Edward Kent and Maxine Kent ("Claimants") alleged that Respondents Merrill Lynch, Pierce, Fenner & Smith

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cliff and JoAim McKie, Henry & Dora Peck Claimants and 89-02805 consolidated with 89-02806 Alfred (Earl) Milner, First Eagle, Inc., Brennan Ross Securities, Inc., Tri-Bradley Investments, Inc., State Street Securities, Inc. Respondents Claimants were represented by Richard James Goff, Esq., Englewood, Colorado. Alfred (Earl) Milner

N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEKLEBS In the Matter of the Arbitration Between ~ Richaitl & Annette Currier 89-02803 of Fidelity Brokerage Services, Inc. Claimants »i loyH that after instructing Respondents to purchase certain stocks en margin and after the TTrnji iikiil followed the instructions, Respondent subsequently imqiyj margin "»TI« to the Claimants, clai alleged that they then instructed the rvnnulniis to sell the aforementio

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stewart Michael Rixson Claimant(s) vs. John McMaster, William J. Billeaud and Thomas James Associates Respondent(s) NOTICE OF ARBITRATION AWARD 89-02801 CASE SUMMARY Claimant(s) Stewart Michael Rixson alleged that Respondent(s) John McMaster, William J. Billaaud and Thomas James Associates made misrepresentations.. Respondent John McMaater mai

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Ferrari as the father and natural guardian of Mark Ferrari, (Claimant) vs. Prudential Securities Incorporated, Donald Sarner, and Harold Koven, (Respondents) Case Number: 99-02851 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant John Ferrari as the father and natural guardian of Mark Ferrari, hereinafter referred to as "Claimant": Edward J. Yun, E

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Elena M. D'Alessandro Claimant(a) vs. 89-02799 First Swiss International Securities Corp./ Allied Capital Group and Tim Daubert Respondent(s) NOTICE OF ARBITRATION AWARD CASK SUMMARY Claimant(s) Elena M. D'Alessandro alleged that Respondent(s) First Swiss International Securities Corp., Allied Capital Group and Tim Daubert made wilful misr