N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the totter of the. Arbitration Between NangofClaigantfs) Gregory Malley 89-02056 i Douglas Wright In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about July 21, 1989, Gregory Medley ( "Claimant" ) alleged that Douglas Wright ("Respondent"), a registered representative of Kidder Peabody & Co. , made material misrepresentations and emissions

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Haase Claimant(s) vs. 89-02053 Blidner, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Michael Haase alleged that Respondent(s) Blidner, Robinson & Co., Inc. misrepresented material facts as to Claimant's investment with Respondent. Respondent denies Claimant's allegations. RELIEF REQUESTED

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Health Net vs. 89-02052 N-, of Ba.mnd.fitm Prudential-Bache Securities, Inc. Shearson Lehman Hutton, Inc. Randal Frankel For Claimanti Steven A. Maadville, Esq., and Howerd E. Cole, Esq., Vbgt, Sanchez & Meadville, Encino, California. For neapantenti Prudential-Bache Securities: Marc S. Dobin, Esq., Prudential Securities, Inc., Mew York, Ne

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Hans Lee Claimant vs. Capital First Securities, Inc. Respondent CASE #89-02050 AWARD CASE SUWARY In a claim filed with the National Association of Securities Dealers, Inc. on July 19, 1989, Claimant Hans Lee alleged the Respondent Capital First Securities, Inc. sold securities in the State of Maryland without first obtaining a license to do so a

'-' '•-; -3 /"? o. c- w '•• • 0- 5 D NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) RICHARD C. HUNEGS ) Claimant ) and ) ) CASE NO. 89-02048 BEAR STEARNS & CO., INC. AND ) MARC H. KOZBERG ) Respondents ) CASE SUMMARY In a claim filed with the NASD on or about July 21, 1989, Claimant Richard G. Hunegs ("Claimant") alleged that Respondents Bear Stearns & C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Or. Henry L. and Florence E. Haines Claimants VS. PaineWebber, Inc. Respondent AWARD 189-02044 Case Summary Claimants, Henry L. and Florence E. Haines (hereinafter "Claimants 7 ) alleged that Respondent, PaineHebber, Inc. (hereinafter "Respondent") churned the Claimants' accounts. Claimants alleged that Respondent placed them in unsuitable

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Manuel D. Leno Revocable Trust, Claimant vs.' Prentice Securities. Inc., and Louis Kornman, Respondents. Case Number: 99-02727 Hearing Site: Milwaukee, Wisconsin REPRESENTATION OF PARTIES Claimant, Manuel D. Leno Revocable Trust ("Leno"), hereinafter referred to as "Claimant", was represented by Sean Lanphier, Esq., Michael Best & Friedrich, LLP, Milwaukee, Wisconsin. Responde

N.A.S.G. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS !n che Matter of the Arbitration Between Philip E. George 89-02039 Name of Shearson Leiinan Hutton, Inc. Bruce Edwards Heard before: Mame . Public/ Industry Cornelius McAuliffe, Esq. Public Arbitrator Simon J. Tager Public Arbitrator James Fox Industry Arbitrator This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, In

N.A.S.D. AWRRD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ' W. Paul Ayers, Jr. Glen A. Koehler Mama of Respondent ( s ) Barrington Nugent Stuart Jones Company, Inc. Stuart Graff Janes w. Padgett Michael Oliva 89-02038 r *-' U CASE SUMMffiY '- W. Paul Ayers and Glen A. Koehler ("Claimants") alleged that: 1. Barrington Nugent ("Nugent"), a registered representative of Stu

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David C. Bojanic Claimant(s) vs. Blinder/ Robinson & Co., Inc. and Kevin Marcum Respondent(s) NOTICE OF ARBITRATION AWARD 89-02036 CASE SUMMARY Claimant(s) David C. Bojanic alleged that Respondent(s) Blinder, Robinson & Co., Inc. and Kevin Marcum made numerous misrepresentations, recommended unsuitable investments and mismanaged Claimant's