NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Margaret Ruth Overton, Trustee, Margaret Ruth Overton Trust Claimant(s) vs. Blinder, Robinson & Co., Inc. vs. Charles Beck Respondent(s) NOTICE OP ARBITRATION AWARD 89-01673 CASE SUMMARY Claimant(s) Margaret Ruth Overton, Trustee, Margaret Ruth Overton Trust alleged that Respondent(s) Blinder, Robinson & Co., Inc. made unauthorized tra

STPULATED AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between DOUGLAS L. BRYANT and ) JANET C. BRYANT, ) ) Claimants, ) ) v. ) NASD Case No. 99-02719 ) MIDWEST DISCOUNT BROKERS, INC., ) TODD SUMAN, GARY MICHAEL DEWEESE, ) DANA EDWARD PETERSON, and ) RICHARD TIMOTHY PIGG, ) ) Respondents. ) REPRESENTATION OF PARTIES Claimants, Douglas L. Bryant and Janet C. Bryant, hereinafter referred to as "Claimants

N.A.S.D. AMENZD NATTOWL ASSOOXriGH OP SECURITIES DEAIZRS In the Matter of the Arbitration Dstneen Richard J. Pistons Wafcefield Financial Corp. Terry Fiorillo Frank Casillo Warren Green Alexander Hinella No. 89-01669 Heard before thai of the Arbitration Panel* Joseph L. Bemetein/ Espj. Terrene* H. Grant George R. Canty, Jr. CASK SUMOT This claia was filed with the NASD, Inc. on June 7, 1989. The hearing woe conducted

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Alexander and Wanda Belmont JTWROS vs. Claimant(s) 89-01666 Leonard Tucker, Ray Steinman and David Miller Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Alexander and Wanda Belmont JTWROS alleged that Respondent(s) Leonard Tucker, Ray Steinman and David Miller misrepresented material facts as to Claimants' investment wi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Arthur P. Tearington ) ) Case 189-01664 Jack Mondel Larry Zuliani Dave Hater Ann Trenton Ed Hanson Stow Hersh Wallace Giakas Heard before the Arbitrator: George Polos, Esq. CASE SIMORY This claim was filed with the NASD, Inc. on June 6, 1989. The hearing was conducted in Tampa, Florida on September 13, 1990 with

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Elizabeth F. Hartwell VS. Claimant AWARD 189-01662 Shearson Lehman Mutton, Inc. Respondent Case Summary Claimant Elizabeth Hartwell alleged that Respondent Shearson Lehman Mutton, Inc. placed her in unsuitable investments and churned her account. Respondent maintained that the Claimant received and reviewed confirmation slips and monthly account state

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Deufel Claimant(s) vs. 89-01661 First Union Brokerage Services, James King and Linda Pyle Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John Deufel alleged that Respondent(s) First Union Brokerage Services, James King and Linda Pyle provided erroneous information and advice to Claimant and permitted an unlicensed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. * In the Matter of the Arbitration Between * James W. Near * Claimant * CASE #89-01931 * AWARD vs. * PaineWebber, Inc. and John R . Stewart * Respondents * CASE SUMMARY Claimant, James Near alleged that Respondent, John "*R." Stewart, by acting as Claimant's account executive, traded Claimant's account without authorization, recommended and invested in unsuitable invest

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between 1 Lester A. & Isabel M. Lawrence Claimant (-«) vs. 89-01929 Baker, Watts & Co., and Dave Hannett Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claiinant(s) Lester A. & Isabel M. Lawrence alleged that Respondent(s) Baker, Watts & Co., and Dave Hannett handled Claimants* account in a negligent and irresponsible manner. Respondent(s)

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ernest D. and Helen E. Lamb Claimant(s) vs. 89-01920 David Maidment and Madeleine Maxfield Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Ernest D. and Helen E. Lamb alleged that Respondent(s) David Maidment and Madeleine Maxfield committedi unauthorized trading in Claimants' account held with Respondent. Respondent{s} deny