Arbitration N.A S D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS National Association of Securities Dealers, Inc. O ne East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 In the totter of the Arbitration Between Name of Seventh Investjnent Bancing Corp. Name of Respondents! Jonathan Alan & Co. Inc. ) ) Case No. 90-01280 ) Heard before the member of the Arbitration Panel: Cas

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jfcitter of the Arbitration Betv^en Name of 90-01279 Robert T. Coyne Name of Respondent (s) Shearson Lehman Hutton, Inc. Donald McCarthy Heard Before: Simon Tager Cornelius J. MzAuliffe, Esq. Roberta Duvarney Public Arbitrator Public Arbitrator Industry Arbitrator For Claimant: Michael Collora, Esq. of Ctoyer, Collora & Gertner in Boston, Massachusetts

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James S. Turner, (Claimant) vs. Citigroup, Inc. and Citicorp Securities, Inc., (Respondents) Case Number: 01-00657 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant James S. Turner, hereinafter referred to as "Claimant": Jeffrey Liddle, Esq., Liddle & Robinson, L.L.R, New York, NY. Respondents, Citigroup, Inc. ("Citigroup") Citicorp Securities, Inc. ("Citicorp"): J

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas Conroy Claimant vs. Quick & Reilly, Inc. Respondents OATH AND AWARD OF ARBITRATOR 90-01272 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 any of the part

N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Maine* nf diaries P. KinCaimcn 90-01271 Mams* o Guardian Internaticnal Securities Corp. Ren Cutler Claimant ailfyjfyj that Respondents induced him to purchase txjuuuu stock securities that were misrepresented to him as to their trading and listing on an exchange. Claimant alleged that if he had not relied upon the representations of the Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantss) Barbara Jean JfcCaslin 90-01258 Name of Respondent(s\ Edward D. Jones & Co. Jim Ballinger In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on May 4, 1990, Claimant Barbara Jean MzCaslin alleged that Respondents Edward D . Jones & Company and Jim Ballinger misrepresented and

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Paul and Rosalyn Burgio ) Claimants ) ) AWARD vs. ) ) NASD #90-01257 Coast Financial Advisors, Inc. ) Respondent ) _) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 4, 1990. The basic facts at issue are uncontested: Claimant Paul Burgio made an investment of one-hal

D Arbitration N.A.O.D. Mft NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lantec S.A. vs Name of Respondent Oppenheimer & Co., Inc. National Association of 33 Whitehall Street New York, New York 10004 Case # 90-01256 Heard before the members of the Arbitration Panel: Publi< Public Name Richard W. Vallario James M. Baumann Public Edward G. Turan Industry This

NASO N.A.S.D. 3WRRD ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. New York 10004 In the Matter of the Arbitration Between of naimant-s Fidelity Brokerage Services Inc. National Financial Services Corporation Case # 90-01255 Peter Zuguang Wang Claimants, Fidelity Brokerage Services, Inc. and National Financial Services

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE *90-01251 AWARD In the Matter of the Arbitration Between David Lerner Associates, Inc. Claimant vs. Barry S, Schein Respondent CASE SUMMARY In a claim filed with the NASD, Inc. on May 3, 1990, Claimant David Lerner Associates, Inc. alleged in connection with an employment contract the Respondent entered into with the Claimant, the Respondent agreed that in the event he voluntarily