NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gary and Ursula Anderson JTWROS Claimant(s) vs. 89-01311 Wakefield Financial Corporation and Al Mine1la Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gary and Ursula Anderson JTWROS alleged that Respondent (s) Wakefield Financial Corporation and Al Minella failed to execute a trade. Respondent(s) did not respond. RELIE

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John A. Oxford Claimant(s) vs. 89-01308 Edward D. Jones & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John A. Oxford alleged that Respondent(s) Edward D. Jones & Co. failed to tender all of Claimant's shares of a certain security subject to a tender offer. Respondent(s) deny all allegations of wrongdoing. RELIEF REQU

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Raymond G. Sanchez Claimant(s) vs. 89-01304 Hyder & Co., Inc. and John Nuveen & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Raymond G. Sanchez alleged that Respondent(s) Hyder & Co., Inc. and John Nuveen & Co. failed to execute a sales transaction at the quoted price. Respondent John Nuveen & Co., Inc, maintains

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Jeannie Driver Claimant ) ) AWARD vs. ) ) NASD NO. 89-01302 Merrill Lynch, Pierce, Tenner ) & Smith, Inc. Respondent ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 2, 1989. Claimant alleged the following: fraud and breach of fiduciary duties, negligent misrepresentation and bre

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Beverly L. Weber Claimant(s) vs. Dillon Securities, Inc. and Thomas Dillon Respondent(s) NOTICE OF ARBITRATION AWARD 89-01301 CASE SUMMARY Claimant(s) Beverly L. Weber alleged that Respondent(s) Dillon Securities, Inc. and Thomas Dillon negligently mishandled Claimant's account. Respondent(s) deny Claimant's allegations. RELIEF REQUESTED

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of 89-01290 James Robinson Name QfBsSBQndentls ) Indiana National Brokerage Services, Inc BHC Securities, Inc. L.F. Rothschild Unterberg Towbin Rosenkrantz Lyon & Ross, Inc. case w .« , « • • < National Association of Securities Dealers. Inc. Suite 1680 Three First National Plaza Chicago. IL 6060

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Grace D. Morton Case #89-01287 CLAIMANT AWARD vs. Harold F. Reichenthal Financial Advisors RESPONDENT CASE SUWARY Claimant Grace D. Morton alleged that the Respondent Harold F. Reichenthal Financial Advisors, acting through Harold F. Reichenthal, misled and misinformed her with respect to her investment in the Massachusetts Financial Services Go

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02665 Denn C. Lemasurier, claimant vs. American Savings Bank n/k/a Washington Mutual Bank and W.M. Financial Services, Inc., respondents. ATTORNEYS: Claimant Denn C. Lemasurier ("Claimant"), appeared Pro Se., Moorpark, CA. For Respondents American Savings Bank n/k/a Washington Mutual Bank and W.M. Financial Services, Inc. (collectively "Respondents"), Susan L.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Betty J. MzClellan 89-01280 Shearson Lehman Brothers CftSE Betty J. McClellan ("Claimant") alleged that a representative of Shearson Lehman Brothers, Inc. ("Respondent") made misrepresentations to her regarding the risk to the principal of her investment. Respondent denied the claim and further alleged that the Claimant was fully advised of all

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Jeanne L. Gollard 89-01278 Name of Respondent(s) Bear Stearns & Company Alan Shpall SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 2, 1989. Claimant alleged unsuitability, unauthorized transactions, breach of fiduciary duty, and "churning" in connection