I I NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Steve Rubin Claimant(s) vs. 90-00104 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Steve Rubin alleged that Respondent(s) Prudential-Bache Securities, Inc. was negligent. Respondent denies .Claimant's allegations. RELIEF REQUESTED Claimant (s) Steve Rubin requested damages

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betveen Name of C\ atmant-./ s \ Philip L. & Marianna J. Koch 90-00100 NanBpfReBpDndentja) Blinder Robinson & CO., Inc. John Flanagan In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about April 25, 1988, Philip L. and Marianna J. Koch ("Claimants") alleged that John Flanagan ("Respondent") while employed as a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John L. Barron Claimant(s) vs. 90-00139 Blinder, Robinson fi Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) John L. Barron alleged that Respondents) Blinder, Robinson & Co., Inc. made misrepresentations. Respondents) maintain that they were legally selling non-registered securities and that they were not required

Arbitration National Association ot Securities Dealer*, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Cowen & Company Claimant Case t 90-00138 Award vs. Phillip A. Barragate Respondent CASE SUMMARY -• Claimant, Cowen & Company ("Claimant") alleged that Respondent, Phillip A. Barragate ("Respondent")

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Lucarelli Claimant(s) ARBITRATION vs. AWARD 90-00136 Greentree Securities and John Irons Respondent(s) NOTICE OP CASE SUMMARY Claimant(s) Michael Lucarelli alleged that Respondent(s) Greentree Securities and John Irons failed to execute a sell order given by Claimant. Respondent John Irons denies Claimant's allegations. Respondent Gree

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert S. Perkins, Jr. Claimant(s) vs. 90-00134 Shearwater Financial Corp. and Steve Wormald Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert S. Perkins, Jr. alleged that Respondent(s) Shearwater Financial Corp. and Steve Wormald misrepresented material facts as to Claimant's investment with Respondent. Respondent{

Award NASD In tne Matter 01 the Arouration between: Names of the Claimants Case Number: 01-03120 John M. Lyon HI and Carla F. Lyon as Trustees of the John M. Lyon HI and Carla F. Lyon Living Trust Names of the Respondents Hearing Site: Boca Raton, Florida Jefferson Pilot Securities Corp. Stanley Rosenthal REPRESENTATION OF PARTIES For John M. Lyon El and Carla F. Lyon as Trustees of the John M. Lyon IE and Carla F. Lyon Living Trust ("Ly

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Arthur Evans Claimant(s) vs. 90-00133 Spencer Winston Securities, Inc. Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Arthur Evans alleged that Respondent(s) Spencer Winston Securities, Inc. violated the terms of a short sale transaction. Respondent(s) maintain that the Claimant never informed them of his intention to

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Harvey Resnik et al Clairaant(s) vs. 90-00132 Shearson Lehman Button, Inc. and Robert B. Gillen Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Harvey Resnik et al alleged that Respondent (s) Shearson Lehman Button, Inc. and Robert B. Gillen caused Claimant to suffer a loss by failing to advise Claimant of a call for redemp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles E. Januschka 90-00124 f Respondent s Evan Ryan J.B. Sterling Corp. Dick Gilson In a claim filed with the NASD on or about January 9, 1990, Charles E. Januschka ("Claimant") alleged that Respondents Evan Ryan, J. B. Sterling Corp. and Richard Gilson failed or refused to execute an order to sell 8000 shares of TVCN stock. In their