PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of Claimant (s) Elizabeth A. Dunigan 90-01514 Name of Respondent (s) Alison Baer Securities, Inc. Daniel S. Peterson Walter Briggs Philip Gurien Karen Fischer Glenn Thomas Vittor Frank Henry Oxmstead For daimant: Claimant Elizabeth A. Dunigan appeared pro se. For Tteapgrytefitg t All Ttespgnidigfitg appeared pro

£ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jeffrey D. Burton Claimant(s) vs . 90-01512 Burke, Christensen and Lewi Securities, Inc. Respondent(s NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Jeffrey D . Burton alleged that Respondent(s) Burke, Christensen and Lewi Securities, Inc. negligently misrepresented material facts as to Claimant's account held with Respondent.

M a c ri Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mama of National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Daniel J. Conway, Esq. 90-01510 Charles Schwab & Company, Inc. the < arbitrator/meRters of the Arbitration Panel>: Name Public/Industry Jeffrey W. Letwin, Esq. Public This matter was initiated

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen") Name of Claimantfsl ) Earl & Dore Gabriel, JTIEN ) Case No. 90-01506 Maine of. Dean Witter Reynolds, Ire. Kevin Clark Heard before the matters of the Arbitration Panel: Arthur J. Leibell, Esq. Tiinrin M. Granata, Esq. David Unterterg, Esq. Public Industry Public This matter was initiated by a Statement of Claim filed with

Award NASD Dispute Resolution, Inc. In the Maner of the Arbitration Between Name of Claimant Kevin Feldman Names of Respondents A.G. Edwards & Sons, Inc. Barron Chase Securities, Inc. Keith Richard Procovic Case No. 00-04775 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Kevin Feldman ("Feldman") hereinafter referred to as "Claimant": Nanci S. Landy, Esq., Altschul, Landy & Collier, P.A., Weston, Florida until a chan

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Eldon Foster ) Claimant ) ) AWARD vs. ) ) NASD #90-01502 D.A. Davidson & Co. ) Respondent ) ) SUMMARY OF ISSUES Claimant alleged losses on an options trade were a result of Respondent's failure to advise prior to placing Claimant's trade that trading in the option had been suspended the previous day. Respondent denied the allegat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) j Barbara Haskin Niven Trust ) By Janet Swords and ) Nicholas Niven, Trustees ) Claimant ) ) AWARD vs. ) ) NASD NO. 90-01485 Shearson Lehman Hutton, Inc. } Leiqh Poland > Respondents ) REPRESENTATION Claimant was represented by Douglas W. Oldfield, Esq. of Carmel, California. Respondents were represented by Harry T. Walters, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Harry and Lenore Bloom Name Of 90-01479 Michael H. Novick and M. H. Novick and Co. CASE SUMMARY i »• In a claim filed with the NASD on or about May 25, 1990 r Harry and Lenore Bloom (collectively "Claimants") alleged that Michael H. Novick and M. H. Novick and Co., (collectively "Respondents"): 1) made untrue statements

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betaken Name of Jennie S. and Sandra E. loket 90-01476 Name of Respondent ( s \ Dean Witter Reynolds, Inc. Jane P. Saunders Claimants Jennie S. Loket and Sandra E. Loket wre represented by Jim Guy Tucker and W. Kirby Lockhart of the Law Offices of Mitchell, Williams f Selig & Tucker of Little Rock, Arkansas. Respondents Dean Witter Reynolds

N.A.S.D. AHftKD ASSOCIKnCN OF SECORECXES TTBRTKRS In the Matter of the Arbitration BetMoen Name of MacBryant, Inc. 90-01475 Stuart- JauMiti Ooopany Incorporated C. James Padgett Maze M* Geman Stuart Graff Ellen Sakamoto For < *i»-i«i*tifr» MacBryant, Inc. was represented fay J. Je»oaiB Stanley, B0q[* f Baton Rouge, Tfnilslima. Star Reflpnkntst Tba Stuart-JanM Cbapany Incorporated, C. James Padgett and Marc M. GMKI were rcprcoc