NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Gerald W. Kralik Claimant vs. Dean Witter Reynolds, Inc. Respondent AWARD CASE NO. 89-02630 2rs of the Arbitration Panel: SUHHARY OF ISSUES This case was filed on September 20, 1989. Claimant alleged unauthorized trading in connection with purchases and sales of stocks and options in Claimant's account between July, 1988 and February, 1989. Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Tuaha Mian Claimant vs. CASEf 83^02611 89-02627 Donaldson Lufkin & Jenrette Securities, Inc. Smith Barney Harris Upham & Co., inc. Sandy Jukel and Alain O'Hayon Respondents Heard before: Arnold Y. Steinberg, Esq. Public Arbitrator Harry Polansky Public Arbitrator Carl J. Hegner Industry Arbitrator CASE SUMMARY In separate claims

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Steven B. and Yvonne Myers, JTWROS Claimant(s) vs. 89-02622 Lawrence Robert: Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Steven B. and Yvonne Myers, JTWROS alleged that Respondent(s) Lawrence Robert committed unauthorized trades with respect to Claimants' account held with Respondent. Respondent denies Claimants' all

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Daniel J. and Christine A. Gough Claimant(s) vs. 89-02619 First Jersey Securities, Inc. a/k/a Hibbard Brown & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Daniel J. and Christine A. Gough alleged that Respondent(s) First Jersey Securities, Inc. a/k/a Hibbard Brown & Co. used an aggressive high pressure telephone s

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between X. Danny Fouladpour Claimant(s) vs. Blinder, Robinson & Co., Inc. vs. Jerrard Whittacre Respondent(3) NOTICE OP ARBITRATION AWARD 89-02618 CASE SUMMARY Claimant(s) K. Danny Fouladpour alleged that Respondent(s) Blinder, Robinson & Co., Inc. made misrepresentations and mismanaged Claimant's account. Respondent Blinder, Robinson & Co., Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Among Carolyn Gross Claimant vs. Case #89-02617 AWARD First Fidelity Capital Corp. and Bernard McGee and Michael Columbre Respondent CASE SUMMARY Claimant, Carolyn Gross ("Gross"), alleged Respondents, First Fidelity Capital Corp. ("FFCC"), Bernard McGee ("McGee"), and Michael Columbre ( "Columbre ") , recommended unsuitable investments, executed unauthorized

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hong-Ji Hu Claimant vs. Stuart-James Co. Respondents OATH AND AWARD OF ARBITRATOR 89-02613 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 parties

N.A.S.D. ANARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bernard & Margaret Balona CASE #89-02606 Allied Capital Group, Inc. Willard (Rick) MbGaffick Heard before the Arbitrator: John P. Cullem, Esq. CASE SDHKKT This claim was filed with the National Association of Securities, Inc. (NASD) on September 18,1989. The hearing was conducted in Tampa, Florida on October 17, 1990, with a total of one se

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William R. Fry Claimant(s) vs. The Ohio Company Respondent(s) AMENDED NOTICE OF ARBITRATION AWARD 89-02605 THIS NOTICE OF ARBITRATION AWARD SUPERCEDES THE NOTICE OF ARBITRATION AWARD DATED JANUARY 8, 1990 CASE SUMMARY Claimant(s) William R. Fry alleged that Respondent(s) The Ohio Company overcharged commissions on exercise of options viola

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Progressive United Corporation Claimant(s) vs. 89-02604 The Ohio Company Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Progressive United Corporation alleged that Respondent^s) Tne Ohio Company overcharged options brokerage commissions in violation of an existing verbal and written contract between Claimant and