WUXCMAL ASSOCIATION QF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) 3«tty Hazalbaker ) Claimant. ; ) AWARD va. ) ) HA3D 490-00343 Merrill Lynch Pierce Fanner ) 6 Snlth, inc. and ) Randy schroeder ) Respondents ) Clainaat wen ^presented by Gregg A. Johnson, Esq., of San Qiego California. Respondent Merrill Lynch, Pierce, Fenner & Snith, Inc. «•• r»pr»«»nt«d by Jo»*ph 3. 3chuch«rt, B«q., K**»al, Tounq & L

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Margaret 0. Gaibraith 90-00331 Rondell Eugene Loftin Sidney Earl Richmond Douglas Shivers Gary Wayne Chambers Joseph P. Hill Suzanne Whitf ield Gates Donald Ray Gates Sheri Glover Margaret 0. Gaibraith was represented by Harvey L. Bell, Esq. , of Bell, Bitheiner & Associates, P.A., Little Rock, AR. Rondell Eugene loft in, Sidney

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Dino Sarles ) Georgette Sarles ) Claimants ) ) AWARD vs. ) ) NASD NO. 90-00334 Charles Schwab & Co. ) Respondent ) SUMMARY OF ISSTJFES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 31, 1990. Claimants alleged the unauthorized purchase of 2000 shares of Genen€bctt, stock . Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Betvreen) of Alessandra Nicoloso ) ) Case No. 90-00330 E.F. Button & Company, Inc. Richard Donath Sidney Fein Heard before the matters of the Arbitration Panel: Casey W. Hills, Esq. - Charles H. Brodzki, Esq. Janet C. Zwiebel CASE SUMMARY This claim was filed with the NASD, Inc. on January 31 t 1990. The hearing was conducted in

NATIOHAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Russell Hawley ) Claimant ) ) AWARD vs. ) ) NASD 490-00326 Dean witter Reynolds, Inc. ) Tim Mooney ) Respondents ) ) SUMMARY OP ISSUES Claimant alleged that Respondent Mooney's recommendation of Southland Corporation bonds was unsuitable given his investment objectives and past investment strategies. Claimant further alleged

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sharon Miller and Miriam Parker, Claimants Shearson Lehman Button, Inc. and Richard Schwartz, vs, Robert Johnson, Respondents Third Party Respondent x x • X X x CASE NO. x 90-00325 x x AWARD x x X X X X X CASE SUMMARY Claimants, Sharon Miller and Miriam Parker (collectively, "Claimants"), a

Arbitration 0 Niton* AttocMton of StcurtttM OMtor*. Inc. Or* East Browwd Boulevard N.A.S.D. AWARD R . Laudwdjfr. Florida 33301 (305) 522-7391 NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) of Susan L. Gibson ) ) Case No. 90-00324 Shearaon Lehman Mutton, Inc. Jbsephthal & Co., Inc. Peter GUbeon Heard before the Arbitrator: Mark C. Perry, Esq. Public This claim was initiated by

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Raymond James & Associates, Inc. and , 01-03263 Dallas, Texas Name of Respondent Thomas G. Winningham REPRESENTATION OF PARTIES Raymond James & Associates, Inc. ("Claimant") was represented by Deborah Howard, Esq., Raymond James & Associates, Inc., St Petersburg, FL. Thomas G. Winningham ("Respondent") did not appear. CASE INFORMATION Th

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Grace G. Reitano Claimant(s) vs. 90-00316 Pittock Financial Corp., Power Securities and RFC Clearing and Paying Agent Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Grace G. Reitano alleged that Respondent(s) Pittock Financial Corp., Power Securities and RFC Clearing and Paying Agent sold Claimant securities at artifici

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) MALCOLM T. WEBRE AND BETTY ANN WE8RE ) ) Claimants ) and ) ) CASE NO. 88-01308 SHEARSON LEHMAN HUTTON, INC., successor ) to E. F. HUTTON AND COMPANY, INC., ) ROBERT COCKBURN AND JIM FEARNOW ) Respondents } CASE SUMMARY Malcolm T. Webre and Betty Ann Webre ("Claimants") alleged as follows: 1. Robert Cockburn, a registered representati