N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betwodn Of Vijay Agaxwal Preeta Agaxwal vs. NASD Arbitration Nb. 90-01162 Q£ Charles Schwab & Coqpany, Inc. For Claimants: Maynard J. Klein, Esq., Fbr Respondent: Gilbert R. Serota, Esq., of Howard, Rice, Nsnerovski, C^nacty, Robertson & FaQJc, Los Angeles, California* Statanait of f^a^ filed: April 23, 1990 Aijii i in ill i signed on: July

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of torilyn Crang 90-01159 Name of Respondentfsl Dean Witter Reynolds , Inc. This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 30,1990. Claimant Marilyn Crang alleges that she purchased fron Respondent Dean Witter Reynolds, Inc.a $50,000.00 High Yield Fund and a $22,000.00 Convertible Fund.

NASD AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Mame of Doran J. Jfooney 90-01158 Name of Respondents Cknni Financial Managecnant, Inc. Lawrence Daniel McCue For Claimant: Joseph E. Kbhler, Esq. For Respondents: Benjamin B. Segel, Esq. caSB Statement of Claim filed: April 24, 1990. Claimant's Submission Agreement signed on: April 19, 1990. Joint Statement of Answer filed by Responden

Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 N.A.S.D. AWARD NATIONAL ASSOdKFECN OF SECURITIES DEALERS In the Tfattjgr ryf t-to Richard V. and Anne M. Delao Award 90-01145 5 of Allied Capital Group, Inc. Claimants Richard V. arri Anne M. Delao ("Claimants") alleged that Respondent Allied rapii-ai Group, inc. ("Respondent") told Claimants that dP

NATIONAL ASSOCIATION OF SECURITIES DEALERS r INC. In the Matter of the Arbitration Between } ) Regina Balabanow ) Claimant ) ) AWARD vs. ) ) NASD #90-01144 G.W. Storey & Associates ) and William Bossenmaier ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 23 f 1990. Claimant alleged that Respondents breached their fiduciary duties

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAE£RS In the Matter of the Arbitration Betvreen ) ) Name of Herman W. & Judy Thonpson ) ) Case No. 90-01143 Name of Rogprayton-hf s \ ) Firat Jersey Securities, Inc. ) Ed LeMasters ) ) Heard before the members of the Arbitration Panel: Craig Edward Stein, Esq. Public Judy Avey Public Steven M. Greenbaum, Esq. Industry This matter was initiated by a Statement of Claim filed w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cla;in»nt-.fgi Eleanor DeNunno 90-01139 Name of Respnrvteni-f s | Merrill Lynch, Pierce Fenner & Smith Inc Mitchell J. Siverston Michelle Siverston In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on April 20, 1990, as amended on May 1, 1990, Claimant Eleanor D. DeNunno alleged that Re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sami G. Naber and Wafa S. Naber, (Claimants) vs. Goldman, Lass Securities, Barry Sheldon Lass, and Rimon S. Dahdal, (Respondents) Case Number: 00-04771 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Sami G. Naber ("S, Naber") and Wafa S. Naber ("W. Naber"), hereinafter collectively referred to as "Claimants": Jenice L. Malecki, Esq., The Law Office of Je

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: RICHARD AND DONNA BOLGER CLAIMANTS V. £90-01126 MUTUAL SERVICES CORPORATION RESPONDENT AWARD CASE SUMMARY The Statement of claim was filed with the NASD, Inc. on April 19, 1990. Claimants, Richard and Donna Bolger alleged that they were unsophisticated investors when , Respondent , Mutual Services Corporation, failed to fully inform them of

Arbitration __ _ - _ xun — National Association of N.A.S.D. AWRRD Securities Dealers, Inc. __ NASD Financial Center NATICKHi ASSOCIATION OF SBCDRITIES DEMURS 33 Whitehall Street _ _^_ New York ' N - Y - 10004 In the Matter of the Arbitration Between FAX < 21 2) 858-4389 Q£ Alex C. Darnell 90-01125 Legg Mason Wood Walker, Inc. For dainent Alex C. Yarnell ("daisant*}: David Weinstein, Kbhn, S