N.A.S.D. AWARD Nftl'HIKRL ASSCCXKnCN OF SBCnSlTffiS DEALERS la the Matter of the Arbitration Between Virginia V. Balbert, Sandra L. Allen, BlBhnp, and David G. and Anna M. Pavelic #89-02582 •89-02583 #89-02584 Button, lac. Richard Melzer, and Richard Camay it: Denise Davis Schwartsm, Escr. of Greenfield & f^Hn»i e*i *m and Frank Lewis, Esq. of Tjuymam, Began, Lewis & Marks. Viif POUI «i lAmt-a» Casey ^*" mf Esq. of ffha»T*np»

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: ETHELYN TYSON ROSE, Individually, as Administratrix CTA of the Estate of HARRIETTE T. ANDREAE, Deceased, and as Custodian for KIPP D. CLARK, A Minor, Under the Uniform Gifts to Minors Act of New Jersey and SUSAN R. CLARK as AWARD Custodian for Kipp D. Clark, a minor under #89-02580 the Uniform Gifts to Minors Act of New Jersey CLAIMANTS V. SHEA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(SV Priscilla Salem 89-02578 Name of Respondentfs^ Prudential-Bache Securities Inc. Ton Harrington Heard before; Name Public/Industry Public / Chair_ Public Sondra Taggart Industry This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on Novembe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Renay E. Vickers vs. Stuart -James Company Smith Barney Harris Co. , Inc. Rick Arthur Kneisley Arbitration Between Claimant Upham & Respondents ) ) ) ) ) ) ) ) ) ) ) AWARD NASD #89-02575 SUMMARY OF ISSUES Claimant alleged Respondents traded her account excessively for the purpose of generating commissi

• -..- r» . • ^ S NOTICE 0? ARBITRATION AWARD 39-02573 In the Matter of the Arbitration Between Ccr.ald /Sirens Claimants) vs. Financial Clearing and Services Corp. vs. Rushnr.are Securities, John Rick and Harvey I. Hcutkin Respondent (s) 'I CASE SIH-LMARY Claimant(s) Donald Ahrsns alleged that Respondent(s) Financial Clearing and Services Corp. improperly seized and liquidated to the cpen rr.arxet 6150 cc

N.A.S.D. AWARD NftXICNMi ASSOdAHCN OF SECURITIES DEALERS In the Matter of the Arbitration. Between Name of dajggntte). Angela 6111 TVsriTm Ebpkiaas Robert vs. 89-02570 Wall Street Pacific Flnnnrlal Resources Gene Williams, Jr. Angela Gill a ™^ TVqtnji Par Respondents: Gene Williams, Jr. represented Respondents Statement of Claim filed: September 14, 1989 Claimants' Sutanissian Agreenenta signed on: September 1, 1389 Joint

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. CASE 89-02567 AWARD In the Matter of the Arbitration Between Aleta Dornbos Claimant vs. Prudential-Bache Securities, Inc.; Ted Bien and James Dunn Respondents CASE SUMMARY Claimant alleges that Respondents made an unauthorized transfer of 1,623 shares of Hidden Strength Growth Fund into Hidden Strength Money Market. She contends that when Respondents repurchased her original shares

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert T. and Mary Ann Ruff and Northwest Bay Trust Claimants and 89-02566 Shearson Lehman Hutton, Inc. and Respondent and Mark Rehms Third Party Respondent REPRESENTATION OF PARTIES Claimant Robert T. Ruff, Esq. appeared pro se' and representing Claimants Mary Ann Ruff and Northwest Bay Trust. Respondent Shearson Lehman Hutton

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant f si Donna L. Montgomery Donald E. Montgomery Timothy J. Montgomery St. John's Publishing, Inc. National Association of Securities Dealers, Inc. Suite 1680 Three First National Plaza Chicago, IL 60602 (312) 899-4440 89-02563 Name of Respondentfs^ Dain Bosworth, Inc. Donna L. Montgomery, D

NATIONAL ASSOCIATION OF SECURITIES DEALERS •f- In the Matter of the Arbitration Between Plaza Hall Claimant(s) vs. 89-03024 P.F.G. Securities Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Plaza Hall alleged that Respondent (s) P.F.G. Securities executed an unauthorized purchase of foreign currency denominated six month corporate term notes in Claimant's money market account. Respondent(s) maintain th