NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Harold R. Bintliff Claimant(s) ve. 89-02206 Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Harold R. Bintliff alleged that Respondent(s) Shearson Lehman Hutton, Inc. charged an erroneous redemption fee when Claimant liquidated his mutual fund share. Respondent denies Claimant's allegations.

Award NASD Dispute Resolution, Inc. la the Matter of the Arbitration Between: Charles Schwab & Co., Inc., (Claimant) vs. Esther Zivyon, (Respondent) Case Number: 99-02757 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Charles Schwab & Co., Inc., hereinafter referred to as "Claimant": Mauricio S. Beugelmans, Esq., Corporate Attorney, Charles Schwab & Co., Inc., San Francisco, CA. Previously represented by: Edmund V. Saucedo, Case Ma

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; John E. Latus and Sheila E. Latus Trust, Claimant v. Merrill Lynch Pierce Fenner & Smith Inc. and Andrew M. Cunningham, Respondents Case Number: 00-01038 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Catherine L. Bland, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, California For Respondents: Michael E. Olney, Esq. Merr

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael J. Lepore Claimant(s) vs. Marty Hill, Power Securities Corp. and Joseph McDonough Respondent(s) NOTICE OF ARBITRATION AWARD 89-02204 CASE SUMMARY Claimant(s) Michael J. Lepore alleged that Respondent{s) Marty Hill, Power Securities Corp. and Joseph McDonough omitted to state material facts pertaining to Claimant's investment. Responden

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Irmgard A. Krabisch Case #89-02200 CLAIMANT AWARD vs. Paul Riven and Shearson Lehman Hutton, Inc. RESPONDENTS CASE SIBHARY Claimant Irmgard A. Krabisch alleged that the Respondents Paul Riven and Shearson Lehman Hutton, Inc. executed unauthorized transactions in her account and purchased unsuitable investments for her account. Specifically, the

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William J. Tracey Claimant(s) vs. 89-02195 Summit Investment Corp. and Phillip HUBS . Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) William J. Tracey alleged that Respondent(s) Summit Investment Corp. and Phillip HUBS failed to execute a trade. Respondent(s} did not respond. RELIEF REQUESTED Claimant (s) William J. Tra

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward and Gretchen Yeh Claimant(s) vs. 89-02193 F.D. Roberts Securities, Inc. Elliott Bell and Robert Masula Respendent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Edward and Gretchen Yeh alleged that Respondent(s) F.D. Roberts Securities, Inc., Elliott Bell and Robert Masula failed to execute trade orders, made unauthorized trade

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Kevin M. McDonagh ) ) Claimant(s) ) ) and ) CASE NO. 89-02185 ) Allied Capital Group ) Pamela Rybacki ) ) Respondent(s) ) ) CASE SUMMARY In a claim filed with the NASD on or about August 3, 1989, Claimant Kevin M. McDonagh ("Claimant") alleged that Respondents Allied Capital Group, Inc. and Pamela Rybacki withheld proceeds of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard B. Durrett Clairaant(s) vs. 89-02180 Shearson Lehman Brothers Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Richard B. Durrett alleged that Respondent(s) Shearson Lehman Brothers mismanaged Claimant's account causing Claimant to feel compelled to sell out all positions in all accounts with Respondent. Respondent(s)

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Roy A. and Consuelo H. Huffman Claimant(s) vs. Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-02177 CASE SUMMARY Claimant (s) Roy A. and Consuelo M. Huffman alleged that Respondents} Blinder, Robinson & Co., Inc. committed unauthorized trading in Claimants' account held with Respondent. Respondent denies