NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF ARBITRATION ) BETWEEN ) ) LAWRENCE E. THOMAS, TRUSTEE OF ) THE HARRINGTON CLIFFORD TRUST ) ) NO. 88-01234 Claimants, ) j DEAN WITTER REYNOLDS, IW ? AND ) ET. AL. ) Respondents . ) CASE SUMMARY Lawrence E. Thomas, Trustee of the Harrington Clifford Trust (Thomas) alleged as follows: 1. James W. Harrington and his wife Carole A. Harrington ("Settlors"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley Dean Witter Inc., d/b/a Morgan Stanley vs. Rose Belle Kaback and Aaron D. Kaback Case Number: 01-03270 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Morgan Stanley DW Inc. For Respondents: Aaron D. Kaback Rose Belle Kaback Catherine L. Dellecker, Esq. Jones Bell Abbott Fleming & In Propria Persona Calimes

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Fazal and Jamil a Karim ) ) Claimants ) and ) A W A R D ) 88-01227 E.F. Mutton & Co., Inc. ) James B. Watson ) Respondents ) ) CASE SUMMARY In a claim filed with the NASD on April 15, 1988, Claimants Fazal and Jamil a Karim ("the Kariras") alleged that Respondents E.F. Hutton & Co., Inc. ("Mutton") and James Watson ("Watson")

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William 0. McKeighen and Ann E. McKeighen Claimants vs. ) ) Case #88-01214 Award Kennedy, Cabot 8 Co., Inc. Respondent On April 5, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants on April 12, 1988, and by Respondent on June 16, 1988. The arbitration panel, hav

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) HAROLD WEINSTEIN AND RONNIE WEINSTEIN and Claimants TEXAS FIRST DISCOUNT BROKERS, LISA PHILLIPS, LARRY KELLY AND MARK RUSSELL CASE NO. 88-01203 AWARD Respondents g On April 3, 1989 in Houston, Texas, the undersigned heard the controversy between the parties as set forth in submissions to arbitration signed by the Claimants on April 11,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Seymour & Sybil Robinson 90-00446 Name of ReSPQPderrti ts) Merrill Lynch, Pierce Fenner & Smith Inc Edward Marks Claimants Seymour and Sybil Robinson were represented by Graham Clark, Eaq. of Mahoney & Hagjberg, Minneapolis, Minnesota. Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Edward Marks ware represen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the "Matter of the Arbitration Between j^ Dave M. Linehan ) ) Case No. 90-00438 flaine_ of Respondent (s) ) Ricliard Wolff ) Robert Schlien ) Alan Stewart Beshany ) Heard before the Arbitrator; John B. Kelley, Esq. This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on February 9, 1990. Claimant, Dave M.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Mattar of the Arbitration Between Lois Mdain 90-00435 Shearson Lehman Button, Inc. Richard Stroud William A. (Sandy) Abshire Claimant was represented by William C. Chevaillier, Esq., of Mysock & Chevaillier, Tulsa, Oklahoma. Respondents were represented by Jack D. Ball aid, Esq., of Hutcheson & Grundy, Houston, Texas. In a Statement of n*«* filed with the National Association o

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ernest and Phyllis Bilhuber Claimant(s) vs. PaineWebber, Inc. and Frank Maselli Respondent(s) NOTICE OP ARBITRATION AWARD 90-00433 CASE SUMMARY Claimant(s) Ernest and Phyllis Bilhuber alleged that Respondent(s) PaineWebber, Inc. and Frank Maselli mismanaged Claimant's account and failed to follow instructions. Respondent PaineWebber, Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gary Benway Claimant(s) vs. Wellshire Securities, Michael Howard and Joe Jenkins Respondent(s) NOTICE OF ARBITRATION AWARD 90-00431 CASE SUMMARY Claimant(s) Gary Benway alleged that Respondent(s) Wellshire Securities, Michael Howard and Joe Jenkins misrepresented the investment quality and return to be received on certain securities and mi