N.A.S.D. AWARD NRIXCNRL ASSOCTW1CU OF SECURITIES DEALERS In the Matter of the Arbitration. Between of David U. Crouch anri Dan^e M. Crouch; Jewel G. Crouch; David U. Crouch, M.D.P.A. Employees' Profit Sharing #2, UTD 1-1-76; and Dr. David M. Crouch, P. A., Employees' Profit Sharing Trust, OTD 1-1-76. Shearscn Letaan Brothers, Inc., f/k/a HuttOU, ftfark E. Boon? Janes E. lane; Sue Jackson Name of Ttdrd-Party Respcaodfint B

N.A.S.D. NATICNAL ASSOCEKPICN OF SECURITIES DEMURS In the Jtotter of the Arbitration Between Jackie B. Clayton 90-02694 Name Q*f Shearsan Lehman Hutton, Inc. Mark S. >fcAfee Claimant Jackie B. Clayton was represented by P. David Nswsone, Jr., Esq. of Conner & Winters, Tulsa, Oklahoma. Respondents Shearson Lehman Hutton, Inc. and Mark S. McAfee were represented by William A. Olshan, Esq. of Shearson Lehman Brothers, Inc., New York, New York.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Francis H. Rainsdon First Trust Corp. TTEE FBO Francis Rainsdon Claimants CASE *90-02690 AWARD vs . Dean Witter Reynolds, Inc. Respondent CASE SUMMARY Pro Se Claimants Francis H. Rainsdon, First Trust Corp. TTEE FBO Francis rt. ttainsuon,' in a claim filed wir.h the NaticnsJ Astoociatiwii of Securities Dealers, Inc on September 26, 1090,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Track Data Securities Corporation, (Claimant) vs. Moses Gluck, Moshe Gluck., American Duplicating Inc., and American Duplicating Corp., (Respondents) Case Number: 01-00691 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Track Data Securities Corporation, hereinafter referred to as "Claimant": Joseph F. Keenan, Esq., McCanliss and Early, LLP, New York, NY. Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Susan Chandler 90-02681 Name of Shearson Lehman Hutton, Inc. David Bruce Claimant Susan Chandler was represented by Rosemary J. Schockman, Esq. of Fennemore Craig, Phoenix, Arizona. Respondents Shearson Lehman Hutton, Inc. n/k/a Shearson Lehman Brothers, Inc. and David Bruce were represented by item Galbraith, Esq. of Lewis and Rcca f P

NATIONAL ASSOCIATION OF SECURITIES DEALERS f INC, In the Matter of the Arbitration Between Patricia S, and James M. Rives (deceased) Claimants vs. Merrill Lynch, Pierce, Fenner and Smith, Inc. and Bruce W. Mercer Respondents Case #90-02676 AWARD CASE SUMMARY Patricia S. and James M. Rives, in a claim filed with the National Association of Securities Dealers, Inc, on September 25, 1990, alleged that Respondents churned their a

Arbitration N.A.S.D. AWARD ~& - Steuritltt OMtan, Inc. NASD Financial Center :< ATICNAL ASSOCIATION OF SECURITIES DEALZRS New In the Matter of the Arbitration Between Name of Claimant- f g ] Jonathan S. and Elizabeth A. Spatz 90-02673 Name of Respondent?si InvestNet Corp. Beard before: Name Public /Industry Raymond M. Komichak, Esq. Public/Chairman Claimants, Jonathan and Elizabeth Spatz were represented ty: James R. Mall, Esq

NATIONAL ASSOCIATION OF SECURITIES DEALERS P INC. In the Matter of the Arbitration Between Jane E. Laurie Claimant vs. : CASE AWARD •• Patricia Meia and Cate Lemberg Respondents CASE #90-02672 CASE SUMMARY Jane E* Laurie, in a claim filed with the National Association of Securities Dealers, Inc. on September 24, 1990 r alleged breach of contract, negligence and misrepresentation. The damages sought arise from alle

Arbitration . N.A.y.iJ. AWAHU _ __ ASSOdATICN OF SECURITIES DEALERS _ In the Matter of the Arbitration Between Name of Claimant (a) Rrank Scaranuzza Barbara Qapozzi Merrill Lynch. Pierce Fenner & anith Inc l la National As^Ktotton of Securities Beaten, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (21 2) 858-4389 OSES 90-02668 For dainant: Mark E. Squires, Esq. of Abrahams

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Bessie Douglas Claimant vs. IDS Financial Services and Steven Libby Respondents Case #90-02667 AWARD CASE SUMMARY, Bessie M. Douglas r in a claim filed with the National Association of Securities Dealers, Inc. on September 25, 1990 , alleged that Respondent and broker, Steven F. Libby while employed with IDS Financial Services, was ne