N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betv^en ame of Arthur Bullard, Jr. CASE #90-01220 of Respondent^ si Smith Barney Harris Upham & Co., Inc. Stephen William Sherman George MzElveen, III. CF AHHPHIMPR Following the arbitration hearing on May 14, 1991 I have considered the testimony and evidence presented at that proceeding. After careful deliberation, I find as follows: This ca

Arbitration ® w a q n noun National Association of w.A.t>.u. AWAKU Securities Dealers, Inc. _ NASD Financial Center NATIONAL ASSOdXnOT OF SfcUJklTlKS DEALERS 33 Whitehall Street _ _ _ New York, N.Y. 1 0004 En the Jfetter of the Arbitration Between FAX (212) 858-4389 of Josephine Powell 90-01218 Q£ E.F. Button & Ocnpany, Inc. Shearson t^i-mm Brothers, Inc. For Claimant Josephine Powell ("Claimant") : John Connolly, a sole practiti

N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS the Ma|ter of the Arbitration Between" Case No. 904)1216 rf we, a« Personal Representative of of Uflda Kelly it Resources, Ltd, son Taylor Resp $" J t Paragon Capital Corporation (*Pu»gan*): tail Aidlo, Esq. of Broad and Cassel. ieiita, John Kelly ("Kelly") art Money Mutfeemcnt Resource*. Ltd. (*MMR*): Resfx o4cot, Thomas Nolaor? IkykM- ("l^ytor*): pm K- WFORMATIQN o^Claim file

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the ("!lflimant Gregory P. Terhune Name of the Respondents Continental Broker-Dealer Corporation, and Jonathan K. Lewis Case Nnmher- 01-00650 Hearing Site- Philadelphia, Pennsylvania RFPKRSFNTATTON OF PARTTFS Claimant Gregory P. Terhune, hereinafter referred to as "Claimant", was represented by Christopher B. Jones, Esq., Law Offices of Christopher B. Jones, Scran

N.A.S.D- AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Susanne Sherry 90-01214 Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Heard before the members of the Arbitration Panel: Name Public/Industry Constantine N. Katsoris Public Barbara J. Glenns Industry Jerome Goodgal Public REPRESENTATION Claimant, Susanne Sherry ("Sherry"), was represented by Alfred J.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-01213 AWARD In the Matter of the Arbitration Between Mark Siegel Claimant vs. Royce Investment Group, Inc. Respondent CASE SUMMARY Mark Siegel, in a claim filed with the National Association of Securities Dealers, Inc. on April 30, 1990, alleged that Respondent and underwriters, Royce Investment Group, Inc. improperly cancelled his buy order for 500 Units of Care Group, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the fitter of the Arbitration Between T.inda H. Loughridge Claimant and F. Stephen Allen Kidder Peabody & Cotpany, Inc. PaineWebber, Inc. Respondents In a Statement of Claim filed with the National Association of Securities Dealers, inc. ("NASD") on April 30, 1990, Claimant Tiinda H. Loughridge alleged that Respondent F. Stephen Allen, while acting as an agent of or employe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Solomen & Elvira Rangel 90-01208 Name of Respondent's) Shearson Lehman Hutton, Inc. Lee Gleeman Arbitration National Association of Securities Dealers. Inc. Suite 1680 Three First National Plaza Chicago, IL 60602 (312) 899-4440 /990 ^ r Case Solcmen and Elvira Rangel ("Claimants") alleged that

N.A.S.D. AWARD Arbitration ® _ NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between * ,-« • ^ , i Name of manumit (s) Wayne D. Williams Mane of Respondent (s) National Association of Securities Dealers. Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdate, Rohda 33301 t 305 ) 522-7391 Case No. 90-01207 Merrill Lynch Pierce Fenner & Staith Inc ) ) Claimant, Wayne

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEMURS In the totter of the Arbitration Between Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Richard H. Jforrow Name of Respondents Ray McLeod Philips, Appel & Walden, Inc. Jesup & Lament Securities, Inc. 90-01204 For Claimant: Brian H. Mahany, Esq. of William A. Despo, P.C. For Respondent R