NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles E. Henely Claimant(s) vs. 89-01277 Patrick Farrell. and Edward D. Jones & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles E. Henely alleged that Respondent(s) Patrick Farrell and Edward D. Jones & Co. breached their fiduciary duty to Claimant by recommending unsuitable investments and misrepresenting

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among ) Rich Yuhasz and Jack Korzilius, ) Claimant ) Case #89-01273 vs. ) Award Power Securities Co., ) Dave Blake, and ) Jeff Smith, ) Respondents ) CASE SUMMARY Claimants allege that they provided their broker, Dave Blake, with stock certificates for Development Ventures Corp. C.P., directed him to sell the stock and Respondents failed to do so. Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Walter & Dorina Crepeau vs. Gateway Securities, Inc. Holmer P. Gronager David E. HestorT Claimants Respondents AWARD *89-01272 Case Summary Claimants alleged that Respondents entered the Claimants into unsuitable securities transactions and violated industry compliance rules in setting up Claimants' account. Claimants further alleged that Responde

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony L. Mercatino Claimant(s) vs. 89-01270 Morunouth Investments, Inc. and Lillians Tietjen Respondents) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Anthony L. Mercatino alleged that Respondent(s) Monmouth Investments, Inc. and Lilliane Tietjen mishandled a transaction. Respondent(s) did not respond. RELIEF REQUESTED Claimant(s

[n the Matter of the Arbitration Between John P. Small Claimant vs. AWARD '89-01267 Garfieid Securities, Inc. Respondent Case Summary Claimant John P. Small alleged that Respondent Garfieid Securities, Inc. misrepresented the purchase price and commission charge on a buy order of common stock so Claimant subsequently stopped payment on the check for the orders that later created a debit balance in his account with Respondent. Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Betweenf Name of Claimant ) Mark S. Stanley ) Case } #89-01266 Name of Respondents. ) Shearson Lehman Hutton, Inc. ) William J. Marr and Lee Collins ) Claimant, Mark S. Stanley alleged that Respondents failed to disclose the risks to him inherent in options trading and recommended unsuitable options trading to him. Claimant further alleged thai-.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ALBERT AND PATRICIA MESSECAR CLAIMANTS AWARD #89-01264 V. SHEARSON LEHMAN HUTTON, INC. MIKE DEAN JOSEPH ALIOTO RESPONDENTS CASE SUMMARY The Statement of Claim was filed with the NASD, Inc. on April 27, 1989. Claimants, Albert and Patricia Messecar, alleged that they were unsophisticated investors with limited resources when Respondent,'

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Guta Kafka Claimant(s) vs. Dean Witter Reynolds, Inc. and William Scanlon Respondent(s) NOTICE OF ARBITRATION AWARD 89-01263 CASE SUMMARY Claimant(s) Guta Kafka alleged that Respondent(s) Dean Witter Reynolds, Inc. and William Scanlon negligently mishandled Claimant's account held with Respondent. Respondent(s) deny Claimant's allegations.

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lois Liming, Claimant v. M.L. Stern £ Co,, Inc., Everen Securities, inc., David Loeffler, and Dennis Robreck, Respondents Case Number: 99-02664 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: L. Louis Raring, Esq. Law Offices of L. Louis Raring Costa Mesa, California For Respondents M.L. Stem & Co., Inc., James D. Portman, Esq.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David Broida Claimant vs. E.F. Mutton, Co., Inc. Steven Matthews and Eugene P. DePatie Respondents ) AWARD ) NASD NO. 89-01262 ) ) ) .) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 27, 1989. Claimant alleged that Respondents breached their fiduciary duty by fail