Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ralph & Betsy Woodhouse Trust, Claimant v. Miller & Schroeder Financial, Inc., Joseph K. Halloran, John M. Clarey, Jr., Thomas S. Nelson, James F. Dhgosch, Kenneth E. Dawkins, MI Acquisition Corp., and Mark F. Augusta, Respondents Case Number: 01-03228 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member, Non-Member and Associated Persons REPRESENTATIO

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Dona D. McDonald and Claimants ) Harry E. McDonald ) vs. ) CASE NO. 88-01136 Drexel, Burnham, Lambert, Inc. Respondent ) Heard Before the Members of the Arbitration Panel: Joseph J. Aron SUWARY OF ISSUES This case was filed on July 6, 1988. Claimant Dona D. McDonald purchased from Respondents a $9,000.00 debenture issued by Public Service of New Hamps

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Peter L. Congro Claimant vs. First National Brokerage Services, Inc. Respondent Case #88-01131 Award On April 6, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Peter L. Congro on April 5, 198Vand by Respondent First National Brokerage Services, Inc. on August 11, 1985

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Abraham and Etta Goldbaum TTEES FBO Ruth Goldbaum Claimant(s) vs. 88-01127 Merrill Lynch, Pierce, Fenner and Smith, Inc., John Magneaio and Michael Fix Respondent(3) AWARD The Arbitrator, Janet Weiss, selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitrat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Irvin B. Perry and Patricia A. Claimants ) Perry ) vs. ) AWARD Shearson Lehman Brothers, Inc. Respondents ) CASE NO. 88-01115 and William Brainerd ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 8, 1988. Claimants alleged unsuitability and unauthorized transactions. Specifically, Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dr. Suryaprakash Patel and Rasika S. Patel, Claimants vs. Case #88-01103 Award Shearson Lehman/American Express, Inc. and Henry Thomas, Respondents ) ) CASE SUMMARY Claimants allege that Henry Thomas, the registered representative with Shearson, the Respondent brokerage firm, made false representations to them that Shearson was a sponsor

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Floyd B. Rhoades, Jr. ) Audrey Rhoades Claimants ) ) AWARD vs. ) ) NASD NO. 88-01098 William T. Powell ) Merrill Lynch, Pierce Fenner & Smith, Inc. ) PaineWebber, Inc. ) Jordan Ball ) Hoi1is Anderson ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 1,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Loris Troup ) Claimant ) and ) A W A R D E. F. Hutton and Co., Inc. and ) 88-01097 Stacy M. Johnson ) Respondents ) On Thursday, May 19, 1989, in Scottsdale, Arizona, the undersigned arbitrators h°ard the controversy between the parties as set forth in submissions to arbitration signed on March 30, 1988 by Claimant Loris Troup, on October 17, 1988

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) REBECCA FOLSOM ) Claimant ) and ) ) CASE NO. 88-01094 A. G. EDWARDS & SONS, INC. ) Respondent ) CASE SUMMARY In a claim filed with the NASD on April 6, 1988, Claimant Rebecca Folsom alleges that Respondent A. G. Edwards & Sons, Inc. through its registered representative traded excessively in her account, recommended unsuitable investments; and

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gate City Christian Church Claimant vs. Fidelity Brokerage Services, Inc. Respondent Award 188-01090 The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in submissions to arbitration signed by the parties on March 11, 1988 and July 26, 1988, respectiv