V xi NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kenneth P. Mayhew, Jr. Claimant(s) vs. 90-01445 J.F. Lowe & Co., Inc. and Otra Clearing Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Kenneth P. Mayhew, Jr. alleged that Respondent(s) J.F. Lowe & Co., Inc. and Otra Clearing as clearing agent executed an unauthorized trade in Claimant's account. Respondent(s) d

ORIGINAL Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daniel W. Powers, Claimant v. Morgan Stanley Dean Witter, William Jenkins and Marvin Baker, Respondents CasR Number 01 -02313 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant; Irwin Stem Richard Sacks Novato, California For Respondents Morgan Stanley Dean Witter and WDBam Jenkins: Wendy R. Robinson, Esq. Morgan Stanley DW In

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Olde Discount Corporation, Claimant v. United Overland Trust & Bancorp and Homer T. Langrill, Respondents Case Number: 99-02321 Hearing Site: Not Applicable REPRESENTATION OF PARTIES For Claimant: Kurt M. Miller, Esq. H&R Block Financial Advisors, Inc. Detroit, Michigan For Respondents: Homer T. Langrill Henderson, Nevada CASE INFORMATION Statement of Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ROBERT J. WIDER, Claimant, vs. SMITH BARNEY, HARRIS UPHAM & CO., INC. and DANIEL C. STEWART, Respondents. Case 188-03667 Award Heard before the members of the Arbitration Panel: Joseph L. Caruncho, Esq. Eduardo J. Palacio, Esq. Mr. Robert Gelfand CASE SUMMARY This claim was filed with the NASD, Inc. on November 25, 1988. The hearing

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joan Facella and Josephine Facella Claimant(s) vs. 88-03666 Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant asserts Respondent negligently misrepresented current value of stock on monthly statements for ten months, preventing her from taking profit or cutting loss. Respondent defends,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ARTHUR and MARY ROEDER, ) Claimants, ) ) Case #88-03660 vs. ) Award DEAN WITTER REYNOLDS $, CO., INC., ) Respondent. ) Heard before the members of the Arbitration Panel: Mark Perry, Esq. Mr. Douglas Delanoy, Jr. Stephen A. LeClair. Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on November 23, 1988. The hearing was conducted in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Frank J. Giaquinto, Claimant vs. Dale Yeakel, and John Vega, Case 188-03659 Award Respondents CASE SUMMARY Claimant alleges that the account executive of Sandhurst Securities, Ltd., John Vega, made an unsuitable recommendation to the Claimant concerning High Point Ventures a/k/a Aviation Education Systems, Inc. Claimant further alleges tha

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Oppenheimer & Co., Inc. vs. Anthony Dante Claimant Respondent Case #88-03652 AWARD CASE SUWARY Claimant Oppenheimer & Co., Inc. seeks return of a dividend on Newmont Mining on which Respondent Anthony Dante incorrectly received a double payment due to Claimant's office error. RELIEF REQUESTED Claimant seeks $16,500.00 together with interest

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Emanuel Boxer Claimant vs. Case #88-03651 AWARD B-R Securities Corporation Respondent CASE SUMMARY Claimant, Emanuel Boxer alleged that Respondent, B-R Securities Corporation failed to execute a sell order of units of Axiom Systems upon his instructions. Respondent maintained that Claimant did not communicate any order to sell his Axiom position

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Carmella M. Parrillo Claimant vs. Case 188-03648 AWARD Shearson Lehman Hutton, Inc. Respondent CASE SUMMARY This proceeding was commenced initially on November 22, 1988 against the Respondent E.F. Hutton & Co., Inc., presently known as Shearson Lehman Hutton, Inc. ("Shearson"), and arises out of a certain account maintained by the Respondent in