NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Francis S. Matarazzo Claimant vs. Harold Scattergood and Boenning & Scattergood, Inc Respondents x x x X x CASE NO. x 90-01677 x x AWARD x X X CASE SUMMARY Claimant, Francis S. Matarazzo ("Matarazzo"), alleged that Respondent Harold F. Scattergood ("Scattergood"), Chairman of the Board of Respondent Boenning &

HUG-02-1991 0?:44 FROM NASD-ARBITRATION-CNICAGO TO &A.S.D. AWARD NHnonit j^ssoci^ncN OF SECURITIES ISKLGRS In the Matter of the Arbitration Between Pax&riew itanhcoBB, Inc. 16123477077 P.03 Claimant and Affiliated Security Brokers Lionel 90-01672 Respondents In a claim filed with the National Association of Securities Dealers, Inc. (TttSD") on or about Jons 12, 1990, Claimant Parkview Otownhoraes, Inc. ("Parkview") alleged that R

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Harold J. Wain, M.D. Martin W. Graf, M.D. vs. PaineWebber, Inc. Daniel Strishock Heard before: Stephen E. Crable, Esq. John W. Johnson, Esq. Alexander Heckman, Esq. Claimants Respondents 90-01669 Public Arbitrator Public Arbitrator Industry Arbitrator CASE SUMMARY In claims filed with the National Association of Securities

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between f Plaimartt James M. Mead Case No. 00-04796 John E. Pastorini J.J.B. Milliard, W.L. Lyons, Inc. Hearing Site- Washington, D.C. Claimant, James P. Mead ("Mead") referred to as "Claimant": Harry D. Martin, Esq., Elderkin, Martin, Kelly & Messina, Erie, PA. Respondents, J.J.B. Milliard, W.L. Lyons, Inc. ("Milliard Lyons") and John E. Pastorini ("Pastorini"), collec

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of riai-maTrt-.gi * Leo M. Colman Name of Respondentfs^ Sheazrson Lehman Hut ton, Inc. E.F. Hutton & Co. Inc. Heard before: Morray I. Scraner Lawrence E. Goldberg Louis Green 90-01666 Public/ Industray Public Arbitrator Public Arbitrator Industry Arbitrator Claimant Leo M. Colman was represented by Lawrence R.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bob and Velvalee Arbaugh Claimant(s) vs. 90-01665 ii Ted J. Meyer Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Bob and Velvalee Arbaugh alleged that Respondent(s) Ted j. Meyer failed to execute Claimant's limit orders at the prices which were requested and subsequently failed to honor promises to settle the difference

N.A.S.D. AWARD NEFICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Pamela D. Pierce ^ HHTTtl vs. 90-01657 A. G. Edwards & Sons, Inc. and Albert Ttoeis, IV Respondents Claimant Pamela D. Pierce appeared pro se. Respondents A.G. Edwards & Sons r Inc. and Albert Theis, IV were represented by Rose M. Schindler, Esq. of A.G. Edwards & Sons, Inc., St. Louis, Missouri. In a Statement of Claim filed with t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) John H. Bradtke ) Phyllis F. Bradtke, JRWROS ) Claimants ) ) AWARD vs . ) ) NASD #90-01654 Kennedy, Cabot & Company ) Respondent ) _ : _ ) REPRESENTATION Claimants were represented by John Bradtke - Respondent was represented by George Kupper , Esq . , or Kennedy, Cabot & Company, Beverly Hills, California. SUMMARY OF ISSUES

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Janet W. Bransome Claimant vs. Berkeley Securities Corporation Respondent Case #90-01646 AWARD CASE SUMMARY Janet W. Bransome, in a claim filed with the National Association of Securities Dealers, Ino* on June 11, 1990, alleged that Paul Coppola, while employed with Respondent Berkeley Securities Corporation, engaged in unauthorized trades in he

NASD AWARD NATIONAL ASSOCIATION OP SECURITIES-DEALERS r INC* IN THE MATTER OP THE ARBITRATION BETWEEN ) CLAIMANTS: FRANCIS G. AND CAROL G. SOTTON ) c NO. 90-01642 RESPONDENTS: SHEARSON LEHMAN BUTTON, INC. )— ~ and RANDY NADGLE ) «r--. REPRESENTATION For Claimants: Francis G. Sutton and Carol G. Sutton appeared pro se. For Respondents: Shearson Lehman Hutton, Inc., now known as Shearson Lehman Brothers, Inc., and Rodney Naugle