NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph and Mary Rubino Claimant(s) vs. Power Securities Corp. and Bernard R. Schmitt Respondent(s) NOTICE OP ARBITRATION AWARD 89-01098 CASE SUMMARY Claimant (s) Joseph and Mary Rubino alleged that Respondent (s) Power Securities Corp. and Bernard R. Schmitt would not execute sell orders. Respondent Schmitt denies all allegations. Respondent P

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Tammy S. Blakey Claimant(s) vs. 89-01097 Freeman Welwood & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Tammy S. Blakey alleged that Respondent(s) Freeman Welwood & Co. misrepresented facts. Respondent(s) denies all allegations. RELIEF REQUESTED Claimant(s) Tammy S. Blakey requested damages of Four Thousand Eight

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Doris Fienga Claimant ) vs. . ) Quintus A. Guthrie Respondent AWARD CASE NO. 89-01095 *s of the Arbitration Panel Charles 0. ..u.. • • SUMMARY OF ISSUES »»n.h the National Association of Securities Dealers, Inc. ("NASD") on April 11, 1989. Claimant alleged Respondent recommended and invested her funds in unsuitable common stocks. Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marvin P. & Florence L. Anderson, William H. & Maridean F, Bennett, Vi L. Budden, Joyce K. Cowin, Thomas H. & Joy E. Kellough, Otto A. & Sylvia A. Ross and William C. & Vickie 5. Tewalt vs. E. F. Mutton & Co., Inc., Shearson Lehman Mutton, Inc., Stig Oftedal and Pamela Oftedal ) Claimants ) ) ) Respondents ) ) ) AWARD

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louis A. Bransford Mary K. Bransford VS. Nicholas Zahareas Claimants AWARD Respondent CASE #89-01091 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 10, 1989 Claimants Louis A. and Mary K. Bransford alleged that Respondent Nicholas Zahareas, while a registered representative, engaged in unauthoriz

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Harry L. and Dorothy M, Keener Mary P. Matousek Charles and Jacqueline Schauert Helen Shepp Anna Kappra William Turpak Hazel Willis Case No. 99-02641 Names of Respondents Van Roberson Lewis, III Jay H. Drivas Michael F. Mann Hal Marlow Sunpoint Securities, Inc. Third-Party Respondent William M. Perry REPRESENTATION OF P

N.A.S.D. AK?r NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Helen W. Koernig and Raynond C. Roernig Claimants and 89-0103? and 89-01093 Boettcher & Company Respondent and Cross Claimant and Paul Jackson Cross Claim Respondent and Cross Claimant CASE SIM4ARY In claims filed with the NASD on or about April 11, 1989, Claimants Helen W. Koernig and Raymond C. Koernig (collectively as "Claiman

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Norman Schupack Claimant vs. Jack Eaker Anthony Stoisich Respondents Case #89-01086 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 10, 1989, Claimant Norman Schupack alleged the Respondents churned his account to generate commissions, executed unauthorized trades, and furnished him

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Terry W. Miller Claimant(s) vs. 89-01085 Kober Financial Corp. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Terry W. Miller alleged that Respondent(s) Kober Financial Corp. failed to "cash out" Claimant's account in October 1988. Respondent(s) maintain that Claimant's account was handled properly tinder the circumstances.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dennis W. Miller Claimant(s) vs. AWARD 89-01082 Dillon Securities and Warren & Brown Associates, Inc. Respondent(s) NOTICE OP ARBITRATION CASE SUMMARY Claimant(s) Dennis W. Miller alleged that Respondent(s) Dillon Securities and Warren & Brown Associates, Inc. failed to execute a transaction. Respondent(s) deny Claimant's allegations. RELIEF R