NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.. CASE #90-00864 AWARD In the Matter of the Arbitration Between Daniel Murphy Claimant vs . Dain Bosworth, Inc. Respondent CASE SUMMARY Daniel Murphy, in a claim filed with the National Association of Securities Dealers, Inc. on March 22, 1990, alleged that Respondent Dain Bosworth, Inc. negligently misrepresented and supplied incorrect information concerning MiniScribe Corporation

l?i * tie Matter of the Arbitral T- Schneyer Among Case 90-OOB63 Award vs . ill. l.yn< :li Fioj'C'? Fenn*? 1 c Claimant, Alvin T. ;;< ;-h'!- u thereinafter "Claimant' \, Alleged that Respondent Merrill Ly»".h Pierce Fennet & Smith, Inc. (hereinafter " Respondent") of I he fee requirements for his individual retirement account. Claimant alleged that Respondent deducted the fees from Claimant's account without explaining why the fees

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mary Ellen Donahue Case #90-00859 vs. Merrill Lynch, Pierce, Fenner & Smith Inc. AWARD CASE SUMMARY Claimant alleged that respondents' agent in the course of selling life insurance induced her decedent husband to misstate medical information on his life insurance. Claimant alleges that the respondents wrongful and fraudulent acts resulted in the loss of the

Arbitration National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street HKTICNAL ASSOCIATE OF SttJUtti-mS DEALERS New York ' New York 10004 In the Matter of the Arbitration Between Name of James E. Ogxam & Gloria S. Ogram 90-00858 "flame or Respondent (s) PalnpWebber, Jackson & Curtis, Inc. Richard M. Otterson dainants James E. *T*H Gloria S. Ogram ("Qgrams 11 ): Eugen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Fred M. Hall Claimant vs. 90-00851 Ray Johnston; Capital First Securities, Inc.; Dillon Securities, Inc, and Cooper- Daher Securities, Inc. Respondents REPRESENTATION OF PARTIES Fred M. Hall was represented by Ramsay Slugg, Esq., Gandy, Michener, Swindle, Whitaker & Pratt of Fort Worth, Texas. Respondents did not appear. CASE SUMMAR

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant(s) vs. Michael Henry Respondent(s) NOTICE OF ARBITRATION AWARD 90-00850 CASE SUMMARY Claimant(s) Dean Witter Reynolds, Inc. alleged that Respondent(s) Michael Henry refused to repay amounts owed to Claimant due to an erroneous credit to Respondent's account. Respondent did not defend. RELIEF REQUESTED

N.A.S.D. AWftRD NATICNAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimants Clifford Altfeld & R. Lyn Lewis, Alan L. Stein & Terry S. Holpert 90-00847 Name Qf Respondent* s| Shearson Lehman Hutton, Inc. In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about March 21, 1990, Claimants Clifford B, Altfeld, R. Lyn Lewis, Alan L. Stein, and Terry S. Holpert (collectivel

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Morgan Stanley DW, Inc. and Name of Respondent Rhea Laws Case Number: 00-04692 Hearing Site: Houston, Texas NATURE OF DISPUTE Member Firm v. Customer REPRESENTATION OF PARTIES Morgan Stanley DW, Inc. ("Claimant") was represented by Michael Abbott, Esq. and Catherine L. Dellecker, Esq., of Jones, Bell, Abbott, Fleming & Fitzgerald, LLP, of Los

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Harold E. Feldman Claimant(s) vs. Irving Reichenberg Respondent(s) NOTICE OF ARBITRATION AWARD 90-00840 CASE SUMMARY Claimant(s) Harold E. Feldman alleged that Respondent(s) Irving Reichenberg made material misrepresentations and used high pressure sales tactics to sell securities to Claimant and subsequently failed to follow Claimant's instru

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Shearson Lehman vs . Chibao Miaw the Arbitration Between Hutton, Inc. Claimant Respondent X X X X X X X X X X X CASE NO. 90-00832 AWARD CASE SUMMARY Claimant, Shearson Lehman Hutton, Inc. ("Shearson"), alleged that due to the market decline of October 19, 1987 the Respondent's, Chibaq Miaw("Miaw), account sustaine