NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Walter & Marilyn Grace Claimants vs. Prudential-Bache Securities, Inc. and Charles T. Giambrone Respondents CASE SUWARY Case #89-00861 AWARD This proceeding was commenced initially on March 20, 1989 by Claimants Walter and Marilyn Grace against Respondents Prudential-Bache Securities, Inc. ("Pru-Bache") and Charles T. Giambrone ("Giambrone"}. Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of Claimants) Barbara Ratzlaff, Trustee 89-00858 nf Gordon K. Williamson Gordon K. Williamson & Associates The Market Timer, Inc. Heard before: William R. Newsone Public Marjorie B. Boldeman Public_ David N. Mahler Industry, This matter was initiated by a Statement of Claim filed with the National Association of Securities

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Christine Evans Claimant(s) vs. Blinder, Robinson & Co., Inc. vs. Bryan Philip Kuvick Respondent(s) NOTICE OF ARBITRATION AWARD 89-00848 CASE SUMMARY > Claimant(s) Christine Evans alleged that Respondent ( s ) Blinder, Robinson & Co., Inc. failed to execute transactions in a timely manner. Respondent ( s ) maintain that the broker, Bryan P

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dennis A. Wai]ace vs. Voss & Co., Inc. Claimant Respondent AWARD #89-00847 Case Summary Claimant Dennis A. Wallace alleged that Respondent Voss & Co., Inc. through its employee Stuart Phillips advised the Claimant to close out options position with another brokerage firm and to place a "buy stop" on American Brands common stock January 60 calls at 7.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) W. Ray Gulp, III ) Claimant(s) ) and ) CASE NO. 89-00845 Shearson, Lehman Brothers, Inc. ) .»«-. .... and ) I George Landolt ) Respondent(s) ) CASE SUMMARY A'- TRA - j r - - - ————^—— • • »»-•• ••^(••t_. . ... _ In a claim filed with the NASD on ox about rTaTch"20r i-989,~Glai»»»r,, W. Ray Gulp, III C"Culp") alleged that Respondents Shearson,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ofthe Arbitration Between ) DAN W. AND JUDITH I. GUDE ) Claimant(s) ) Case No. 89-00843 and ) BLINDER ROBINSON & CO., INC. ) PHYLLIS DUCHEIN ) Respondent(s) CASE SUMMARY In a statement of claim filed with the NASD on or about March 20, 1989, Claimants Dan and Judith Gude ("the Gudes") alleged that the Respondents Blinder Robinson & Co., Inc. ("Blinder Robinson") and Phyllis D

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paul Mullen, Trustee, American Restoration & Waterproofing, Inc. Defined Benefit Pension Plan, Claimant/Counter-Respondent, and Case Number: 99-02596 Hearing Site: Oklahoma City, Oklahoma Azmi Yacoub Fakhoury and Everen Securities, Inc., n/k/a First Union Securities Inc., Respondents/Counter-Claimants. REPRESENTATION OF PARTIES Claimant/Counter-Respondent P

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lawrence Sales Ltd., Partnership, Max and Rita Lawrence Claimant(s) vs. 89-00841 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Lawrence Sales Ltd., Partnership, Max and Rita Lawrence alleged that Respondent(s) Prudential-Bache Securities, Inc. made misrepresentations. Respondent(s) maintai

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jeffrey A. Derosiers Claimant(s) vs, 89-00805 Power Securities Corp. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant Jeffrey A. Derosiers alleged that Respondent Power Securities Corp. failed to refund the correct amount to Claimant after Respondent admitted to doing business with Claimant in a state in which the Respondent was not

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David Lashinsky Claimant(s) vs. Mark Williams Respondent(s) NOTICE OF ARBITRATION AWARD 89-00803 CASE SUMMARY Claimant(s) David Lashinsky alleged that Respondent(s) Mark Williams made an error in Claimant's account and refused to pay money due. Respondent(s) denies any wrongdoing with respect to the Claimant's account and that Respondent should no