NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between N.L. Cooper Claimant vs. Shearson Lehman Brothers, Inc. D. Elliott Dahle, Jr. Respondents AWARD #88-00138 On October 13 and 14, November 29, December 1, 12 and 13, 1988 and February 2 and 28, March 2, April 24 and 26, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in the submissions to Arbitration signed by Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donna M. Hopley Claimant(s) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) AWARD 88-00116 The Arbitrator, Lucia Edwards, selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on May 11, 1988 and July 11, 1988, resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Larry Fihma Claimant(s) vs. Spencer-tfDisTionr Securities / Seligman Securities, Neil Lipschitz and Bill Meeke1 Respondent(s) NOTICE OF ARBITRATION AWARD 88-00115 CASE SUMMARY Claimant(s) Larry Fihma alleged that Respondent(s) Spencer-Winston Securities, Seligman Securities, Neil Lipschitz and Bill Meckel mismanaged the transfer of Claimant's

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Steven Kraim Claimant(s) ARBITRATION vs. AWARD 88-00098 Marc Chulik and Shearson Lehman Brothers, Inc. Respondent(s) NOTICE OP CASE SUMMARY Claimant (s) Steven Kraim alleged that Respondent(s) Marc Chulik and Shearson Lehman Brothers, Inc. failed to execute a sell order as requested by Claimant. Respondent(s) maintain that Claimant never e

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Blinder, Robinson & Co. Inc. vs. Janaria Kelley Claimant(s) Respondent(s) AWARD 87-02634 The Arbitrator, Delores I. Smith, Esq., having been selected to review and determine a matter in controversy between the above- mentioned Claimant and Respondents; And, that having reviewed and considered the proofs of the parties, has decided and determined that

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nelson A. Goodreau Claimants) vs. 87-01721 MacPeg, Ross, O'Connell & Goldaber, Inc., et al. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Nelson A. Goodreau alleged that Respondents MacPeg, Ross, O'Connell & Goldaber, Inc. et al. did not sell units pursuant to Claimant's order. Respondents maintain that Claimant instructed Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of the Arbitration Between) Dean Witter Reynolds, Inc. ) Claimant(s) ) and ) ) CASE NO. 87-02543 Jeffrey Bruhjell ) ) •Respond ent(s) ) CASE SUMMARY Dean Hitter Reynolds, Inc. ("Claimant") alleged that Jeffrey ("Bruhjell") had a debit balance with the Claimant in the amount of 19,998.47, plus interest of 56,973.81. Claimant also requested attorneys' fees and costs.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) \ James A. and Florence M. and K.A. Knapp and Company, Kirk A. Knapp and Jonathan Edwards Phelps ) Claimants ) } ) Inc.; ) ) ) Respondents ) ) A W A R D 87-2053 and 87-2054 On Thursday, April 27, 1989 in St. Louis, Missouri, the undersigned arbitrators heard the controversy between the parties as set

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Richard D. Fischer Case No. 99-02280 Name of Respondents Americorp Securities, Inc. Dirks & Company, Inc. Hearing Location: Washington, D.C. REPRESENTATION OF PARTIES Claimant, Richard D. Fischer ("Fischer") was represented by William S. Burroughs, Jr. Esq., Attorney at Law, Arlington, VA. Respondent, Dirks & Company, Inc. ("Dirks") was repr

08/13/01 WED n:32 FAX NASD REGUUTION AWARD NASD Dispute Resolution, inc. In the Matter of the Arbitration Between Name of Claimants William N. Bernard and Catherine H. Bernard *" 00-01000 Minneapolis, Minnesota Name of Respondents Silver Capital Group Shamrock Partners, Ltd. LCP Capital Corp. Thomas John Granite Emauuele A. Scarso OF William N. Bernard and Catherine H, Bernard ("Claimants") were represented by Michael Hum