NASO Arbitration N.A.S.D. AWARD National Association ol Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS NeyvkNrlc 10004 In the Matter of the Arbitration Between Name of Claimant^s} Carl and Betty A. Reynolds, JTWROS 87-02041 Shearson Lehman Brothers, Inc. Claimants alleged that Respondents defrauded them in the sale of common stock and failed to f ol low the Claimants' instructions in the sale of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Leonard E. Schwartz Claimant(s) vs. 87-01950 Beuret & Co., and Andrew Greitz Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Leonard E. Schwartz alleged that Respondent(s) Beuret & Co., and Andrew Greitz negligently mishandled Claimant's account held with Respondent. Respondent(s) deny Claimant's allegations. RELIEF REQUESTE

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Homer E. & Betty K. Alfs Claimant(s) vs. 87-01829 Edward D. Jones & Co. Respondents) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Homer E. & Betty K. Alfs alleged that Respondent Edward D. Jones & Co. should have determined that the retired Claimants were unsuitable for investments in units of Oil and Gas Limited Partnership. Respondents main

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of tha Arbitration Between ) ) ) ) ) Ordonez & Pedro Shearaon Lehman Brothers, Inc. Vbldanar Straadaa Alfred Fasulo 6 MBrgairita Afandor ShaazBon Latnan Bcothaii, Inc. Valdanar Straadaa Alfrad Famlo 87-01738 88-00097 Haard. ha>fora ths Mrlna Shajdc-KLain, Baq. Fanny M. Millar tfyion Ounay, of tha Arbitratijon Fanalt Thaaa claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert L. Young Claimant(s) vs. Blinder, Robinson & Co,, Inc. and Alex Herman Respondent(s) NOTICE OF ARBITRATION AWARD 87-01693 CASE SUMMARY Claimant asserts Respondents sold him stock, misrepresented the due date for payment, then sold him out under Regulation T and used the proceeds to acquire unauthorized stock and that Respondents failed

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Audrey Contente Claimant vs. Blinder Robinson & Co., Inc. and Jackie Moultrie Respondents Case #87-01667 AWARD CASE SUMMARY Claimant, Audrey Contente alleged that Respondents, Blinder Robinson & Co., Inc. and Jackie Moultrie allegedly purchased shares of common stock that were not authorized by her and fraudulently misrepresented and sold other

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Carl T. and Martha M. Neal Claimant(s) vs. 87-01609 U.S.A. Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Carl T. and Martha M. Neal alleged that Respondent (s) U.S.A. Securities, Inc. failed to credit Claimants' accounts with an appropriate refund of a sales charge. Respondent(s) did not defend. RELIEF RE

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Jacob and Ruby Jacob Claimant(s) vs. 87-01606 Viceroy International Securities Corp., Robert Onesti and Avin Bakal Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert Jacob and Ruby Jacob alleged that Respondent(s) Viceroy International Securities Corp., Robert Onesti and Avin Bakal made unauthorized sales of securitie

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Martin M. Hochman Claimant(s) vs. S.D. Cohn, Sidney D. Conn and Philips, Appel & Walden, inc. Respondent(a) NOTICE OF ARBITRATION AWARD 87-1604 The Arbitrator, Gerald Thomas Grady, Jr./ selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John V. DeMais Dorthy L. DeMais Claimants ' Award 87-01596 vs. Brooks Weinger Robbins & Leads, Inc. George Fairweather Securities vs. Denton & Co., Inc. Respondents The undersigned, being the arbitrator selected to review and determine a matter in controversy between the above-mentioned Parties, set forth in a submission to Arbitration signed by the claim