NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard M. Evans Claimant(s) vs. 89-01078 Linda Barlow and Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Richard M. Evans alleged that Respondent(a) Linda Barlow and Merrill Lynch, Pierce, Fenner & Smith, Inc. misrepresented the fee charged in connection with the purchase of cert

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between 'R. Delores Brokke Claimant(s) vs. 89-01075 Thomson McKinnon Securities, Inc., Jim Haas and Ron Coleson Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) R. Delores Brokke alleged that Respondent(s) Thomson McKinnon Securities, Inc., Jim Haas and Ron Coleson mismanaged Claimant's account. Respondent(s) deny Claimant's allegations.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Melvin & Elaine Schwartz Claimants vs. Shearson Lehman Hutton, Inc. Judy Lev Respondents Case * 89-01073 AWARD CASE SUWARY This proceeding was commenced initially on April 10, 1989 by Claimants Melvin and Elaine Schwartz against Respondents Shearson Lehman Hutton, Inc. ("Shearson") and Judy Lev ("Lev"}, and arises out of a certain account held

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Paula J. Ponte Claimant(s) vs. 89-01071 PaineWebber, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Paula J. Ponte alleged that Respondent(s) PaineWebber, Inc. made misrepresentations. Respondent(s) maintain that the investment in question was never offered as a "money market fund/" nor was there ever any guarantee mad

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael A. Corsaro Claimant(e) vs. 89-01070 The Stuart-James Co. and Vincent Traina Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Michael A. Corsaro alleged that Respondent(s) The Stuart-James Co. and Vincent Traina made unauthorized transactions. Respondent(s) deny Claimant's allegations. RELIEF REQUESTED Claimant(s)

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Lavata Gresham, Virginia Hurlbut, Barnice Kitkoski, T.mian A. Boons, Bernice Kujawa, Mary Lou Medillin, Anna Mae Waldrip, Carole M. Moore, and Delores Sorrick 89-01067 Name of Ruatioretent (s \ E.F. Button & Company, Inc., n/k/a Shearson Lehman Bcotheca/ Inc. George Mulquean Claimants Lavata Greoham, Virginia Hurlbut, Barnice Kitkooki, T.1U

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., (Claimant) vs. Michael Green, (Respondent) Case Number: 99-02628 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Charles Schwab & Co., Inc., hereinafter referred to as "Claimant": Richard A. Karoly, Esq., Corporate Attorney, Charles Schwab & Co., Inc. Respondent, Michael Green, hereinafter referred to as "Respondent", did not ap

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. / In the Matter of the Arbitration Between ) Francis J. Lang and Claimants ) Elsie Lang ) vs. ) CASE NO. 89-01064 Gallagher Capital Corp. Respondent ) SUMMARY OF ISSUES This case was filed with the NASD on April 7, 1989. Claimants alleged that their broker failed to put them in a cash position prior to the market crash of October 1987; failed to re-enter the market to purchase positions in com

APR ?. 3 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Peter LoFurno AWARD Claimant #89-01063 Charles O'Brien Respondent Case Summary Claimant Peter M. LoFurno alleged that Respondent Charles O'Brien failed to properly execute mutual fund transfers in his account in October of 1987 creating losses to the Claimant. Respondent maintained that the type of transfer that Claimant requested could not be ex

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David A. Egan Claimant(s) vs. 89-01061 Merrill Lynch, Pierce, Fenner & Smith, Inc. and Rick Hutchins Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) David A. Egan alleged that Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. and Rick Hutchins charged Claimant fraudulent charges. Respondent(s) deny any and all allega