NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jack B. Hayes Claimant(s) vs. 90-00012 Ed Harris and Vicente Blaz Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Jack B. Hayes alleged that Respondent(s) Ed Harris and Vicente Blaz failed to execute a trade. Respondent(s) Vincente S. Blaz maintains that after October 28, 1988 he had turned Claimant's account over to Edward

NATIONAL ASSOCIATION OF SECURITIES DKALERS, [NC. MICHAEL E. & MICHELLE J. SMITH CLAIMANTS V. E.F. MUTTON & COMPANY, INC. AND JOHN G. TOMLINSON AWARD #90-00011 CASE SUMMARY The Statement of Claim was filed with the NASD, Inc. on December 28, 1989. Claimants, Michael E. and Michelle J. Smith alleged that they were unsophisticated investors when they opened an investment account with Respondents E.F. Hutton & Co., Inc. and John G.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Names of Claimants •«*T Wilda Faye Mays Carolyn J. Scott M.C. McCoy Cecil Lance Nan Robinson Herman Collier Marjorie Collier Lois Stooksbury Robert Worrell Grover T. Crosslin Irby Lightner Guy J. Gardner 90-00010 Name of Respondent Dean Witter Reynolds, Inc. Claimants were represented by David N. Burn,

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC In the Matter of the Arbitration Between ) William Howard ) Claimant ) ) AWARD vs. ) ) NASD NO, 90-00008 Livingston Securities, Inc. ) Steve Brown ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on December 27, 1989. Claimant alleged an unauthorized purchase in his account of two thousand shares of Comprehe

N.A.S.D. AWARD Arbitration ® National Association or NATIONAL ASSOCIATION OF SECURITIES DEALERS oS^!f SSS Suite 1000 ft. Lauderdale. Florida 33301 ____ In the Matter of the Arbitration Between ) i 305 ^ 522-7391 ) Name of Claimant^ s] ) ) Adele D'Agostini ) ) ) Case No. 90-00007 Sprung & Wise Securities ) Timothy Wise- } Ben Coffin j Nicholas J. Sprung ) Heard before the Arbitrator: John P. Cullan, Esq. Pu

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Julius Stern Claimant(s) vs. 90-00003 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Julius Stern alleged that Respondent(s) Prudentiai- Bache Securities, Inc. did not execute a transfer order on a timely basis. Respondent denies Claimant's allegations. RELIEF REQUESTED Claimant(s)

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gregory and Julia Agamy Claimant(s) vs. Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00092 CASE SUMMARY Claimant(s) Gregory and Julia Agamy alleged that Respondent(s) Shearson Lehman Hutton, Inc. negligently mishandled Claimants' account held with Respondent. Respondent has not answered Claimants' allegations.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louis S. and llene E. Hyatt Claimant vs. Award Case #90-00088 Merrill Lynch, Pierce, Fenner & Smith, Inc. and Emanual Bobb Respondent CASE SUMMARY Claimants Louis S. and llene E. Hyatt ("Claimants") alleged that Respondent's Merrill Lynch, Pierce, Fenner & Smith, Inc. and Emanuel Bobb made misrepresentations to the Claimants to induce Cl

I I NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert: A. Glamore Claimant vs. Kennedy, Cabot: & Co. Respondents OATH AND AWARD OF ARBITRATOR 90-00087 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: ^ I am not an employer of, employed by or related by blood or marriage to

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Robert J. Nelson v. 01-03115 Minneapolis, Minnesota Respondents Morgan Stanley Dean Witter, Inc. and Jeffrey S. Christians Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Robert J. Nelson ("Claimant") was represented by A. Russell Janklow, Esq., of Johnson Heidepriem Miner & Marlow, Sioux Falls, South Dakota. Morg