NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Mai Symon Case #90-00483 Claimant AWARD vs. International Assets Advisory Corp. Raymond Pena, Jr. Respondents CASE SUMMARY Claimant Mai Symon alleged that she instructed Respondent Raymond Pena, Jr. {"Pena"), an employee of Respondent International Assets Advisory Corp. ("IAAC"), to sell her shares of America's All Season Fund (the "Fund") and t

Award NASD Dispute Resolution In the Matter of the Arbitration ^Between: Richard McLaughlin & Susan McLaughlin et al vs. Stock USA, Inc., Computer Clearing Services, Inc., et al Case Number: 99-03998 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Helen M. Yucka \ ''' Helen M. Yucka Declaration of Trust Richard and Susan McLaughlin For Respondents: Stock USA, Inc. Ralph O. Mann Computer

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John C. Gambrell Claimant(s) vs. Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00480 CASE SUMMARY Clairaant(s) John C. Gambrell alleged that Respondent(s) Shearson Lehman Hutton, Inc. created a customer account without authorization and refused to deliver certain securities purchased by Claimant. Respondent did not

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marcia Churchill Claimant(s) vs . 90-00477 Shearson Lehman Brothers, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Marcia Churchill alleged that Respondent(s) Shearson Lehman Brothers, Inc. misrepresented material facts about an investment that was unsuitable for the Claimant. Respondent denies Claimant's alle

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. THEODORA JARSHOWER & JACQUELINE KLINE CLAIMANTS V. PAINEWEBBER, INC., PETER BARONE AND ROBERT A. COHEN RESPONDENTS AWARD #00-00476 CASK SUMMARY The Statement of Claim was filed on February 14, 1990. Claimants, Theodora Jarshower and Jacqueline Kline alleged that Respondents, PaineWebber, Inc., Peter Barone and Robert A. Cohen invested their funds in securities that were unsuitable

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard Magnani Claimant(s) vs. Michael Jones and Robert Harvey Respondent(s) NOTICE OF ARBITRATION AWARD 90-00472 CASE SUMMARY Claimant(s) Richard Magnani alleged that Respondent(s) Michael Jones engaged in unauthorized trading and that Robert Harvey failed to supervise properly. Respondent(s) did not answer. RELIEF REQUESTED Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, In the Matter of the Arbitration Between '•• Name of Claimant Leroy E. Spires and 90-00470 Name of Respondents Shearson Lehman Brothers, Inc. Robert G. Clark REPRESENTATION O? P3B.TIE3 Claimant was represented by John C. Augustine, Esq. of Saegert, Augustine & Lynch, P.C., Austin, Texas. Respondents were represented by Harry T. Walters, Esqr «f Shearson Lehman Brothers, Inc.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEATCTS irTthe Matter of the Arbitration Between Name of _ Claimant ( s ) Katherine Jean Morgan 90-00469 of Resoriftent' i * Shearson Lehman Hutton, Inc. James Constantine In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about February 1, 1990, Katherine Jean Morgan ("Claimant") alleged that Janes A. Constantine, a registered representative of Shea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ' In che Matter of the Arbitration Between Name of Claimant James H. Weisberg, individually and as custodian of Jamie Weisberg, Matthew Weisberg, Kelsi Weisberg and Michael Weisberg and 90-00468 °£ Respondent . Thir Part Claimant Shearson Lehman Hutton, Inc. ri/k/a Shsarson Lehman Brothers, Inc. Name of Third Party Respondent William Foster REPRESENTATION OP PARTIES

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. JOSEPH D. MERCADANTE AND SAM PATTI CLAIMANTS V. AWARD t90-00467 FRANK NICOLOIS RESPONDENT CASE SUMMARY The Statement of Claim was filed with the NASD, Inc'. on February 13, 1990. Claimant, Joseph D. Mercadante, alleged that while employed as an account executive at Respondent's firm, he opened an account jointly with his uncle, Claimant, Sam Patti. During the time -in quest