MATIONAL ASSOCIATION OF SECURITIES DEALERS, IMC. In the Matter of the Arbitration Between ) )- MARTIN SHEVRIN, ) Claimant, ) ) Case J87-00975 vs. ) Award ) BROADCHILD SECURITIES CORP., PRUDENTIAL-BACHE ) SECURITIES, INC., JANNEY MONTGOMERY SCOTT, INC., ) and EDWARD BEAUDETTE. ) Respondents. ) On April 11. 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by C

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Hatter of the Arbitration Between Frances M. Hoffman and Sonja Dixon JTTEN Claimant(a) vs. 87-00941 Sprung & Wise Securities Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant asserts recision; Respondent agrees to recision upon condition that stock or lost certificate documentation be delivered to it. AWARD Pursuant to Section 13 of the NASD, Inc. Code of

. Z A/0.,2 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. T» In the Matter of the Arbitration Between ) ) Jed N. Miyashiro Claimant ) ) Case #87-00713 vs. ) ) Award ) Kennedy, Cabot & Company, Inc. Respondents ) Jack Robertson ) Charles Schwab & Co., Inc. ) Securities Settlement Corporation ) ) The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN .lohn F. and Donna M. Lombat i Michael J. & Cheryl A. Manm Claimants vs. Paul Joyce Stuart-James Co., Inc. Respondent-, Case #87-01226 -/ (consolidated w/88-00266) AWARD CASE SuTflARY In a claim filed with f he National Association of Securities Dealers, Inc. by Claimants John F. and L'onna M. Lombari on July 6, 1987 and by Claimants

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN F. and Donna M. Lombati Michael J. & Cheryl A. Manm Claimants vs. IMul Joyce Stuart-James Co., Inc. Respondent" Case #87-01226 s (consolidated w/88-00266) AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. by Claimants John F. and L'onna M. Lombari on July 6, 1987 and by Claimants Michael J. and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael A. Boyd, Jr. Michael A. Boyd, Inc. Robert Joel Blumenthal Joyce Blumenthal Terence M. York Arthur S. Raskin Martha Raskin Alan D. Bunims Roderick Boyd et a! 93-02144 Name of Respondents David Bruce McMahan McMahan Securities Co. L.P. William Fertig Mark Allen Plimpton Saul Schwartzma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants H. Graham Zoff, D.D.S., Personally and As Trustee of Dr. H. Graham Zoff Defined Benefit Pension Plan and Robert O. Broslow and Arlene S. Broslow, Personally and Trustees of the Broslow Family Trust 93-02143 Name of Respondents Brokers Investment Corpora- tion, Norman D. Shubert, Daniel H. Steinberg, Thomas

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Philip M. Getter 93-02130 Name of Resoondentfs) Ladenburg Thalmann & Co., Inc. REPRESENTATION For Claimant: Louis F. Burke, Esq. of Townley & Updike, New York, NY. For Respondent: Norman S. Lawi, Esq. of Ladenburg Thalmann & Co., Inc, New York, NY. CASE INFORMATION Statement of Claim filed: May 25, 1993. Claimant's

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Raymond, James & Associates, Inc. Case No. 01-02609 Jeffrey T.Allen Hearing Site.: Indianapolis, Indiana OF PA ITTER Claimant Raymond James & Associates, Inc. ("Claimant") was represented by Stephen W. Sutherlin, Esq. and Thomas W. Blessing, Esq. of Stewart & Invin, P.C. located in Indianapolis, Indiana. Respondent Jeffrey Allen ("Respondent") was not present and wa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Estate of Leo W. Peleske 93-02125 Name of Respondent Prudential Securities Inc. REPRESENTATION For Claimant Estate of Leo W. Peleske ("Claimant"): Wesley A. Gersh, Esq. of Gersh Law Offices, P.S.C., Louisville, Kentucky For Respondent Prudential Securities, Inc. ("Respondent"): Patrick Gaffney, Associate General Counsel, Pr