N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In i h° Matter of the Arbitration Between ) Name of Vincent B. Greenwood ) ) ) 89-03019 ) Award Name of Respondent's} ) ) Steve Thomas ) Paul Powers ) Claimant, Vincent B. Greenwood (hereinafter "Claimant") alleged that Respondent, Steve Thomas (hereinafter "Respondent") failed to place him in a bond fund that complied with claimant's stated investment criteria. Claimant

10 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between) ) Name of Clalfliantfs) ) ) Henry G. and Beverly B. Lyle ) Dean Witter Reynolds, Inc. Smith Barney Harris Upham & Co., Inc. Philip Anderson Arbitration National Aaaodatton of SecurttiM Oeatora, Inc. On* East Browan) Boulevard Suite 1000 Ft. Lauderdale, Ronda 33301 (305) 522-7391 Case No. 89-03018 For Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Monty Fein Claimant(s) vs. 89-03015 Easter Kramer Group Securities Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Monty Fein alleged that Respondent(a) Easter Kramer Group Securities Inc. purchased securities in Claimants' account without authorization. Respondent(s) did not defend. RELIEF REQUESTED ^ Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Scott and Diane Harnden Claimant(s) vs. 89-03014 Kimbridge & Co. and Joseph Marino Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Scott and Diane Harnden alleged that Respondent(s) Kimbridge & Co. and Joseph Marino committed unauthorized trading in their account resulting in the account being liquidated to meet a margin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of rlaitnant-fs) Roxann Haupt 89-03011 Name qf. Respondent^) Shearson Lehman Brothers, a/k/a Shearson American Express Heard before: Name Public/Industry Philip Marshall, Esq. Public Arbitrator (chairperson) Margery Gootnick, Esq. Public Arbitrator Joseph Gentile Industry Arbitrator Claimant Roxann Haupt was represented by

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants lames Thomas, Jr. Frankie J. Thomas Case No. 99-02821 Name of Respondent Citicorp Investment Services REPRESENTATION OF PARTIES For James Thomas, Jr. and Frankie J. Thomas, hereinafter collectively referred to as "Claimants": Robert Wayne Pearce, P.A., Boca Raton, Florida. For Citicorp Investment Services ("Citicorp"), hereinafter referred to

NASID, N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of S«curiti«* D«al«rs, Inc. One East Broward Boulevard Suite 1000 Ft. Uuderoale, Florida 33301 (305) 522-7391 In the Matter of the Arbitration Between Name of Claiitantfg) Curlie & Lisa Chester Name of Respondentfs) Richfield Securities inc. Linda Liegh Heard before the Arbitrator: James R. Kennedy, Jr., Esq. CASE #89

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of riaunant-ijs] Holly B. Prassenos 89-03008 NangnfResriondent(s) A.G. Edwards & Sons, Inc. Ernest Martin III Thomas Bohlke National Association of Securities Dealers, Inc. Suite 1680 Three First National Plaza Chicago, IL 60602 (312) 899-4440 CASE SWART in a claim filed with the NASD on or about Oct

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Delaware Steel Company of ) California Profit Sharing Plan ) Dated September 1, 1982, ) Peter Taubkin, Trustee ) Claimant ) AWARD vs. ) ) NASD #89-03007 James R. Bishop ) Respondent & ) Third-Party Claimant ) vs. ) ) Peter Taubkin Third-Party Respondent ) _ ) SUMMARY OF ISSUES Claimant trustee alleged transactions

NATIONAL ASSOCIATION OF SECURITIES DEALERS •f In the Matter of the Arbitration Between Michael Muccio Claimant(s) vs. First Alliance Securities, Inc. and Dawn Daly Respondent(s) NOTICE OF ARBITRATION AWARD 89-03006 CASE SUMMARY Claimant(s) Michael Muccio alleged that Respondent{s) First Alliance Securities, Inc. and Dawn Daly committed unauthorized trading in Claimant's account. Respondent Dawn Daly denies Claimant's