Arbitration g, N.A.o.U. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ls1 National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale. Florida 33301 (305) 522-7391 Jules Hochman, Individually and as Trustee of the Jules Hochman Revocable Trust Name of Stuart James Company, Inc. Herbert Robinson ) Case No. 90-00406

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Serena Ashley 90-00405 Name of Rt-jS Prudential-Bache Securities Inc. Thomson KbKinnon Securities, Inc. C. Collier Joseph Palmar Michael Turner Serena Ashley was represented by William J. Freidl, Esq., Robert J. Novak, Esq. and Mark Sippel, Esq. of Phoenix, Arizona. Carroll Collier was represented by Guy M. Buckley, Esq. of Mesa,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Donald & Donna Montgomery et al. 90-00403 Kidder, Peabody & Co., Incorporated Ti T i i Claimants Donald E. and Donna L. Montgomery, Timothy J. Mqntgonary, Katie Montgomery, Anthony Montgomery, Molly Montgomery, St. John's Publishing, Inc. and Donald E. Montgomery & Associates were represented by Donald E. Montgomery and Donna L.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roderic C. Ward and Elizabeth Jean Ward, individually and as Trustees of The Roderic C. Ward " and Elizabeth Jean Ward Revocable Trust, Claimants v. Investment Architects, Inc., Glen David Haddock, Anthony J. Duckworth, and Jack W. fiverett, Respondents Case Number: 01-03268 > Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Pe

N.A.S.D. ASAHD NKPICNftL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Carl B. Allen 90-00402 Edward D. Jones & Go. Cort L. Cheney For Claiaant(e)J Carl B. Allen appeared pro so For Respondents) < EdwatU D. Jonfw & Cu. and CUrt Disney wwcw repciawntMd Ly Cynthia A. Doria, Esq. of Edward D. Jones & Co., ttozyland Hei^xts f 1C. Statsnetxt of Claim filed on or about Fsbcuary 5, 1990. Claimant's Submission Ag

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant R and B Enterprises . . 90-00400 Prudential-Bache Securities Inc. and Prudential-Bache Agriculture Inc. In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about February 28, 1990, R & B Enterprises ("Claimant") alleged that Prudential-Bache Securities Inc. and Prudential-Bache Agricult

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Terry Willey and Linda Willey Claimant(s) vs. 90-00399 Russell Dalbey Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Terry Willey and Linda Willey alleged that Respondent(s) Russell Dalbey misrepresented material facts as to Claimants' investment with Respondent. Respondent denies Claimants' allegations. RELIEF REQUESTE

NATIONAL ASSOCIATION OF SECURITIES DEALERS ROBERT A. WALL, ) NASD Arbitration No. 90- ) 00397 Claimant, ) ) DECISION OF ARBITRATOR and ) j and DEAN WITTER REYNOLDS INC. and HUGO) AWARD ROSAS ) ) Respondents, ) ) I. SUMMARY OF PLEADINGS This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on February 5, 1990. Claimant alleged that Respondents failed to execute his verbal and writte

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Ton Conley ) Claimant ) ) AWARD vs. ) ) NASD # 90-00396 Shearson Lehman Hutton, Inc. ) Richard J. Brizzolara, Jr. ) Respondents ) SUMMARY OF ISSUES Claimant alleged Respondents made false and misleading statements regarding the risks of trading in options, were negligent with respect to allowing such statements to be made, committed ac

Arbitration N.A.S.D. AWARD Nation* Action of Securities Dealer*. Inc. Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS Three First National Plaza Chicago. IL 60602 (312) 899-4440 In the Matter of the Arbitration Between Narpe of. Claimant(s^ John J. UrbaruJc 90-00392 Name of R H.T. Fletcher Securities, Inc. In a claim filed with the National Association of Securities Dealers, inc. ("NASD") on or about February 6, 1990 John J