NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Rose! K. Jacobson Claimant vs. Shearson Lehman Button, Inc. Marshall Pilkington Ronald Shores Respondents ) ) AWARD ) NASD NO. 90-00037 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 2, 1990. Claimant alleged: violation of the Securities and Exchange Act (SEA),-* 15

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. — — — —. W_OTM«W_M*_.»_MM._M»«_ — — •••— -• — «Bk v «_ V .» M .__ wv4B _ HM4 .w HV _ fl » H it In the Matter of the Arbitration Between Name of Claimant (s) William H. MacMillan and Ann MacMillan 90-00036 Name of Respondent(s ^ Investment Direction Associates, Inc. ._«•.*«..••.»__—^..___..*_.*.v —— ••»__*••»•«_.«___.._._.»_^»._.«. ta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o Mary Wright Maurice Wright Fleta Wright 90-00034 Mane of Christopher M. Reddington In a claim filed with the National Association of Securities Dealers ("NftSD") on or about December 29, 1989, Mary Wright, Maurice Wright and Fleta Wright (collectively "Claimants") alleged that Christopher M. Reddington ("Respondent") omitted to s

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gopal C. and Kavita G. Bhagat Claimant(s) ARBITRATION VS. AWARD 90-00031 John Wheeler and Ron D. Wheeler Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Gopal C. and Kavita G. Bhagat alleged that Respondent(s) John Wheeler and Ron D. Wheeler made misleading statements, used high pressure sales tactics and failed to honor promises made to indu

Arbitration ** N.A.S.D. AWARD National Association of Securities Dealers, Inc. One East Broward Boulevard NATIONAL ASSOCIATION OF SECURITIES DEALERS Suite 1 °°° Ft. Lauderdale. Florida 33301 (305) 522-7391 In the Matter of the Arbitration Between Q mant s Joseph and ttery Connor 90-00027 Rppnd r ' J.W. Charles Securities Kenneth Brown Wend/ Brown J.W. Brown Investments dba K.W. Brown Co Heard before th

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF hLhXJUkiTlES DEALERS In the Matter of the Arbitration Between flfam«> of na-JTnant Dmfllrt E. Clark 90-00025 Name of Respondents Merrill Lynch Pierce Fenner & Sndth Inc * Wendell C. Hoover National Association at Securities Oealen, Inc. NASD Rnanctal Center 33 Whitehall Street New York. N.Y.100O4 FAX (212) 858-4389 For dainsnt: For Reapcodeat: Tinothy K. Miller, E

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Friedrich Faber and Michael A. Faber, Trustees Claimant(s) vs. Shearson Lehman Button, Inc. and Paul Michail Respondents) NOTICE OP ARBITRATION AWARD 90-00024 CASE SUMMARY Claimant(s) Friedrich Faber and Michael A. Faber, Trustees alleged that Respondent(s) Shearson Lehman Hutton, Inc. and Paul Michail negligently mishandled Claimants' acc

NATIONAL ASSOCIATION OF SECURITIES DEALERS. IMC. In the Matter of the Arbitration Among Leslie K. Lear - Trustee Claimant vs. Case #90-00020 AWARD Joseph J. Cavanagh and Prudential-Bache Securities, Inc. Respondents CASE SUMMARY Claimant, Leslie K. Lear - Trustee ("Lear"), alleged that Respondents, Joseph J. Cavanagh ("Cavanagh"} and Prudential-Bache Securities, inc. ("Pru-Bache"), made fraudulent representations regarding the Prime

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03116 Anthony P. Ferrante, Claimant vs. Salomon Smith Barney Inc., Respondent. ATTORNEYS: Claimant, Anthony P. Ferrante, appeared Pro Se, Hermosa Beach, California. Respondent, Salomon Smith Barney, appeared through its in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: June 12, 2001 CASE SUMMARY: Claimant alleged that respondent sold and removed securities from his a

NATIONAL ASSOCIATION CF SECURITIES DEALERS In the Matter of the Arbitration Between Herbert W. and Lorraine F. Schlawiedt, Trustees Claimant(s) vs. 90-00019 Doug Barker and Securities Settlement Corp. Respondent(a) NOTICE OF ARBITRATION AWARD CASK SUMMARY Claimant(s) Herbert: W. and Lorraine P. Schlawiedt:, Trustees alleged that Respondent(s) Doug Barker and Securities Settlement Corp. negligently mishandled Claimants' ac