N.A.S-D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between Name of Claimant: f s) Kenneth J. and Maureen Reilly 90-00389 Name of ResppndRpt" (s) Shearson Lehman Hutton, Inc. Robert Cutrupi Claimants alleged that Respondents represented that they would not be charged fees for their IRA accounts but subsequently discovered that they were charged a fee. Claimants further alleged that Respondents misre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eleanor Savage John Savage, Sr. John ("Jack") Savage, Jr. Nancy Savage 90-00385 Chris Areneila Shelter Rock Securities, Inc. Wsllshire Securities, Inc. Equities International Securities, Inc. Anthony L. Havens Thomas A. Butterfield George Eugene Cooper Robert Edwin Cohen Jack David Skidell Grace Florence Skidell Hear

.'I.A.5.D. AWARD •JATICHAL ASSOCIATION OF SECURITIES DEALERS in. -TS Matter cf the Arbitration Between Jbsepn Cohen 90-00377 Name of Rescondentf s> The Robinson-Hunf>hrey Company, Inc. Richard Howard Claimant Joseph Cohen alleged that Respondents The Robinson Humphrey -o.. Inc. and Richara Hcward piacea him in unsuitable speculative securities recommended to him by Richard Howard that created losses in his account, fesponoents irainta

N.A.S.D. ANKRD DEALERS NATIONAL ASSOCXATICt? OF la the Matter of the Arbitration Between Name of Claimant (a) ^ Virginia Hassan Name of Michael Farah at (a) Button, Inc. NASD Arbitration Mb. 90-00376 For dadnantj William F. Dsvia, Esq. For Respondent: Mitchell J. Albert, Esq. -Seesal, Young & Logan Stab of filed: February 5, 1990 Claimant's Submission Agreensnt signed cat January 23, 1990 •* it of Anwar an

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-03267 UBS PaineWebber Inc., Claimant vs. Thomas C. Higgins, Respondent. ATTORNEYS: For Claimant, UBS PaineWebber Inc., appeared Romaine L. Gardner, Esq., Staten Island, NY. Respondent, Thomas C. Higgins, appeared pro se, Toledo, OH. DATE FILED: June 19, 2001 CASE SUMMARY: Claimant alleged that the respondent failed to make payments on loans in accordance with the schedule set forth

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00980 Richard B. Vance & Company, Claimant vs. Joseph P. Heilman, Respondent. ATTORNEYS: Claimant, Richard B. Vance & Company, ("Claimant"), appeared through Burton W. Wiand, Esq., of the firm of Fowler, White, Gillen, Boggs, Viilareal & Banker, P.A., Tampa, FL. Respondent, Joseph P. Heilman, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: March 6, 2000. CASE

NATIONAL ASSOCIATION OF SECURITIES DEALERS In. the Matter of the Arbitration Between Suzanne Slade Claimant(s) vs. Thomas Vincent Ackerly, Troy P. Westover, and Michael Kaye Respondent(s) NOTICE OF ARBITRATION AWARD 90-00375 CASE SUMMARY Claimant (s) Suzanne Slade alleged that Respondent (s) Thomas Vincent Ackerly, Troy P. Westover, and Michael Kaye misrepresented material facts as to Claimant's investment with Respondents. R

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Neal Stevens tte F. Ruth Hulland Trust Claimant(s) vs. 90-00374 Kemper Technology Fund Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Neal Stevens tte F. Ruth Hulland Trust alleged that Respondent(s) Kemper Technology Fund failed to transfer 7,960.174 shares to Florence Ruth Hulland Living Trust and instead sold the sha

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Aegis Partners, ) William King Investment Partners ) and William J. King & Co., } Claimants ) ) AWARD vs. ) ) NASD #90-00367 Boarwalk Capital Corp., ) Mason A. Dinehart, ) Dana Joseph Welch, ) and Robert Broad ) Respondent ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD")

Arbitration 3 N.A.a.U. AWAKU NATIONAL ASSCCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of nainvmt-fp] ) ) Michael Kleitz ) Huberman Securities Corp. Michael Huberman National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Case No. 90-00365 Heard before the members of the Arbitration Panel: Henry Sanchez,