In the Matter of the Arbitration among ) FLORENCE M. LEWIS ) ) Case No. 89-01856 Claimant, ) ) AWARD v. ) BLINDER ROBINSON & CO., INC. and ) JOSEPH M. KAHN, ) Respondents. ) Case Summary claimant Florence Lewis alleged in her claim filed May 1989, that on or about June 23, 1988 respondents Blinder Robinson & Co., Inc. and Joseph M. Kahn, Jr. purchased 100,000 shares of Pasta Via stock for her account without her authorization.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jack D. and Theo L. Thomas Claimants AWARD vs. Texas Independent Securities, Inc. Jimmy Carter Trace E. Paradise Respondents CASE #89-01846 CASE SUMMARY Jack D. and Theo L. Thomas, in a claim filed with the National Association of Securities Dealers, Inc. on June 26, 1989, alleged that Respondents have not repaid a Ten Thousand Dollars and N

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ranko J. Zarubica Martha B. Zarubica vs. Claimants ) AWARD ) ) CASE #89-01845 ) Bateman Eicnler, Hill Richards, Inc. Respondents Melvin Vukcevich SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers (NASD) on June 26, 1989. Claimant alleged Respondents misrepresented the quality and type of investment

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Lauren Kelly Claimant ) vs. ) AWARD Shearson Lehman Mutton, Inc. Respondents ) CASE NO. 89-01843 and Darrell Petrie SUWARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on June 26, 1989. Claimant alleged that she executed a written authorization allowing Respondents to engage in an index option trading st

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard M. O'Connor, Claimant vs. First Fidelity Brokers, Inc., Respondent Case *89-01842 Award CASE SUMMARY Claimant, Richard M. O'Connor, alleges that on October 16, 1987 at 9:32 to 9:33 A.M. he gave Respondent, First Fidelity Brokers, Inc., an order to buy 70 465 XMI puts at up to $1.50 and that Respondent failed to execute the order prior to

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David and Mary Stratton Claimant(s) vs. 89-01838 Monmouth investments, Jack Mondel and David Haber Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) David and Mary Stratton alleged that Respondent(s) Monmouth Investments, Jack Mondel and David Haber negligently mishandled Claimants' account held with Respondents. Respondent(s)

NATIONAL ASSOCIATION 0? SECURITIES DEALERS, INC. In the Matter of the Isadora Burstein and Warren Nachmann VS. O.K. Wallach Options and David Wallach Wallach, Inc. vs. Warren Nachmann and I a adore Burstein Arbitration Between Claimants , Inc., Wallaoh Group, Respondents Claimant . Respondents X X X X X x CASE NO. x 89-01837 x (Consolidated Inc., x with 89-01952 x and 90-00125)

I N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between: Robert E. Burchfiel Claimant of Arbitration Award '"* 89-01830 Dale Roehrman and Larmer - Sykes Co. d/b/a LSCO Securities, Inc. Respondent REPRESENTATION OF PARTIES Claimant Robert E. Burchfiel was represented pro se. Respondents Dale Roehrman and Lamer - Sykes Co. did not answer the Statement of Claim. CASK SUMMARY

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard Tuthill TTEE, Tim Jon Defined Benefit Plan, Claimant v, Oppenheimer & Co., Inc. and Adam F. Coblin, Respondents. Case Number: 99-02709 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California. For Respondents: David L. Becker, Esq. CIBC World Markets Corp. New York

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Hedvig M. Peterson Claimant and Shearson Lehman Button, Inc. Respondent A W A R D 89-01826 CASE SUMMARY Claimant, Hedvig Peterson ("Peterson") alleged as follows: 1. Peterson is a 100 year old widow with impaired vision. She liquidated her savings account and certificates of deposits and transferred the proceeds therefrom into an