Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Keith Egly, Claimant v. William M, Davis, Michael L. Kramer, and Salomon Smith Barney, Respondents Case Number: 99-02721 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Catherine Bland, Esq. Law Offices of Paul W, Thomas & Associates Calrsbad, California For Respondents: Joanne Chormanski, Esq. Salomon Smith Barney Inc. New York, New Y

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jerry C. and Kathryn E. Watson V8. Claimant(s) 89-01709 Jeffrey W. Pinyon Respondent(s) MOTCCS OF ARBITRATION AWARD CASK Claimant (a) Jerry C. and Kathryn B. Watson alleged that Respondent^ ) Jeffrey W. Pinyon made misrepresentations and unauthorized trades. Respondent(s) denies Claimants' allegations. RKLIBP Claimant (s) Jerry C. and Kath

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Terrence D. and Janet B. Hull Claimant(s) vs. 89-01701 Power Securities & David Juras Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Terrence D. and Janet B. Hull alleged that his account became untradable when Respondent Power Securities, Inc. closed. Respondents did not defend. RELIEF REQUESTED Claimant Terrence D. and J

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEMURS In the Matter of the Arbitration Betvreen f ("laimantf s Horace M. Jones of Respondent: 1 s\ Bear Stearns & Company George B. Peters Hill Feinberg CftSE SIMffiRV In a Statement of Claim initially filed with the National Association of Securities Dealers, Inc. ("NASD") on June 9, 1989 f and as later amended on December 17, 1990, Claimant Horace H. Jones alleged as follows:

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph J. Bonfanti Claimant(s) vs. 89-01696 Burt Hochstein and Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SHMMART Claimant(s) Joseph J. Bonfanti alleged that Respondent(s) Burt Hochstein and Shearson Lehman Button, Inc. committed and unauthorized trade in Claimant's account held with Respondent. Respondent(s) d

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mark A. Fetter Claimant(s) vs. Fitzgerald, Talman and Cecil L. Farris Respondent(s) NOTICE OF ARBITRATION AWARD 89-01687 Claimant(s) Mark A. Talman and Cecil L. did not respond. CASE SUMMARY Fetter alleged that Respondent(s) Fitzgerald, Farris made misrepresentations. Respondent(s) RELIEF REQUESTED Claimant(s) Mark A. Fetter re

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Terrence A. and Joann M. Quinn Claimant(s) vs. 89-01686 The Stuart-Jan.es Co. and Philip S. Brown Respondent(s) HOTICB OF ARBITRATION AKARD CASE SUMMARY Claimant(3) Terrence A. and Joann M. Quinn alleged that Respondent(s) The Stuart-James Co, and Philip S. Brown failed to explain the risks associated with certain investments recommended

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) JAMES M. WREDE ) Claimant ) and ) ) CASE NO. 89-01679 CHARLES SCHWAB & COMPANY, INC. ) Respondent ) CASE SUMMARY In a claim filed with the NASO on or about June 9, 1989, Claimant Jamer M. Wrede ("Claimant") alleged that Respondent Charles Schwab & Company, Inc. ("Respondent") was negligent in failing to provide material information and document

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Chester H. Bruce Claimant ) ) vs. ) AWARD Wedbush Securities, Inc. and Respondents ) CASE NO. 89-01678 George Blatchford ) SUMMARY OF ISSUES Claimant alleged Respondents failed to execute in a timely manner his instructions to sell his shares of First Tcidon. Respondents denied the allegation and asserted in their defense that the stock was liqu

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Dean Witter Reynolds, Inc. Claimant ) vs. ) AWARD ) Edward Karesky Respondent ) CASE NO. 89-01677 Heard Before the Members of the Arbitration Panel: A. James Mi ranti Lewis C. Brown David N. Mahler SUMMARY OF ISSUES This case was filed on June 7, 1989. Claimant alleged that Respondent Edward Karesky ("Karesky") was employed by Dean Witter .R