NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wall Street Clearing Co. Claimant(s) vs. Anthony Lisena Respondent(a) NOTICE OP ARBITRATION AWARD 89-00799 CASE SUMMARY Claimant asserts amounts owing from margin call. Respondent did not defend. RELIEF REQUESTED Claimant(s) Wall Street Clearing Co. requested damages of Five Thousand Five Hundred Dollars and No Cents ($5,500.00). AWARD

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Herman and Lyla Demick Claimant(s) vs. AWARD 89-00798 Shearson Lehman Hutton, Inc., Rich Heinrichs and Mark Rockey Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) Herman and Lyla Demick alleged that Respondent(s) Shearson Lehman Hutton, Inc., Rich Heinrichs and Mark Rockey misrepresented material facts as to Claimants' investments

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michelle L. Russell-on behalf of Tammy Russell, Michael Russell and Oavon Russell (all minors) Claimants vs. Alex Brown and Sons, Inc. Respondents AWARD #89-00796 Case Summary In a claim filed with the National Association of Securities Dealers, Inc. on March 10, 1989, Claimant Michelle L. Russell-on behalf of Tammy Russell, Michael Russell and Da

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Elizabeth I. Pascoe ) Claimant ) ) AWARD vs. ) ) NASD #89-00790 PaineWebber, Inc. ) Marc K. Leh ) Respondents ) SUMMARY OP ISSUES Claimant alleged breach of fiduciary duty, misrepresentation, lack of suitability, churning and failure to supervise with respect tc investments in certain limited partnerships, commodities, options, GNMAs a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rick Hamilton, Custodian for Brian J. Hamilton Claimant(s) vs. Securities Settlement Corp. vs. Greentree Securities Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 89-00781 CASE SUMMARY Claimant(s) Rick Hamilton, Custodian for Brian J. Hamilton alleged that Respondent(s) Securities Settlement Corp., the clearing agent for Claimant's Br

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants| Robert Pizzo 89-00777 Name of Respondent's) Shearson Lehman Brothers, Inc. Richard WeUcer SUMMRRY OF TSStlRS This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 9, 1989. Claimant, Robert Pizzo (Pizzo) alleges that Respondent, Richard Welker (Welker), while employed by Respon

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Maureen J. Earl Claimant ) vs. ) AWARD Marvyn Kaye Respondent ) CASE NO. 89-00775 SUMMARY OF ISSUES This case was filed on March 10, 1989. Claimant Maureen J. Earl alleges that Respondent induced her to buy interests in certain limited partnerships when Respondent knew or should have known said investments were unsuitable in light of Claimant's income, net wo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Estate of Frances B. Galbreath, Claimant Case Number: 99-02595 Vs. Hearing Site: Louisville, Kentucky Oppenheimer & Co., Inc., William A. Lobb, and John J. Woods, Respondents. REPRESENTATION OF PARTIES Claimant, The Estate of Frances B. Galbreath ("Galbreath"), was represented by James B. Galbreath, Esquire, of Morgan, Hazen & Galbreath, Newport, Ke

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Murrey and Sandra Galper Claimant(s) vs. 89-00773 Blinder, Robinson & Co., Inc. and Robert Merrifield Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Murrey and Sandra Galper alleged that Respondent(s) Blinder, Robinson & Co., Inc. and Robert Merrifield misrepresented material facts as to Claimants' investment with Respondent.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Leopolds and Mary Hellmund ) ) ) Case No. 89-00771 ) Name of Respondentfsv ) ) Merrill Lynch, Pierce, Fenner & Smith ) Inc. and, ) Monarch Resources Inc. ) Heard before the members of the Arbitration Panel: Marilyn B. Cane, Esq. Anthony S. Paetro, Esq. Thomas E. Swenson CASE SOMUCT This claim was filed with the Nat