NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Richard A. Lane, Trustee et al. Claimant vs. Al Jeanfreau Respondent CASE 90-00799 AWARD CASE SUMMARY Richard A. Lane as Trustee for the Mabel Jones Trust for the benefit of Michael Lane, in a claim filed with ^e """onal Association of Securities Dealers, Inc. on March 16, 1990 aiiegea that Respondent, Al Jeanfreau, negligently ignored instructions

Arbitration ^ AHftRD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimarft? Mslvin J. & Gloria R. Brenner vs Name of Respondents MacPeg, Ross p O'Connell Stanley Goldaber Goldaber, Inc. National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Case # 90-00790 Heard before the members of the Arbitration

Arbitration ® N.A.S.D. AWARD National Association of Securities Dealers, Inc. One East Broward Boulevard NATIONAL ASSOCIATION OF SECURITIES DEALERS i* U '?o!!^Li a n™^ q< ™m Ft. Lauderdaie, Florida 33301 (305) 522-7391 In the Matter of the Arbitration Between ) Name of Claimantfsl ) Mary DeSimone ) ) Case No. 90-00789 Name of Respondentfs^ ) Jferrill Lynch, Pierce Fenner & 3nith Inc ) Duane H. Sakal ) Heard before

I < •' Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mark J. Schraerge, Claimant v. Bryan E. Pifer and Alpha-Omega Capital Corp., Respondents. Case Number: 00-04690 Hearing Site: Cincinnati, Ohio REPRESENTATION OF PARTIES Clairnant/Counterrespondent Mark J. Schmerge ("Schmerge"), hereinafter referred to as "Claimant", was represented by Daniel G. Spraul, Esquire, of Spraul, Veith & Doan, Cincinnati, Ohio,

N a NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Name of Leon P. & Lorraine v. Delaune Name of Respondent^ 90-00785 Hanover Investment Securities, Inc. Bernard J. Wellmeyer, Jr. Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 For Claimant: Barney Stewart of Moore & Van Allen Respondents, Hanover Investment Se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (s) Rod R. & Hilda S, McDonald Name of CASE #90-00784 The Olio Conpany Beard before the members of the Arbitration Panel; James R. Kennedy, Jr., Esq. John P. Cullem, Esq. Allison Hardage Public Public Industry This matter was initiated by a Statement of Claim filed with the National Association of Securities

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-00778 AWARD In the Matter of the Arbitration Between Asher A. & Lorell F. Blass Claimant vs . Burke, Christensen & Lewis Securities, Inc. Respondent CASE SUMMARY Asher A. & Lorell F. Blass, in a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1990, alleged that Respondent Burke, Christensen & Lewis Securities, Inc., did not make reasonabl

Afbltratlon .A. A .U. AMMP Nation., AMoc.tk.no. Securities Dealers, Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS NASD Financial Center _ _____ __ 33 Whitehall Street In the Matter of the Arbitration Between New York, New York 10004 Paul j. Konecny, Paul J. Kdnecny as Custodian For Christopher P. Konecny & Joanne E. Buono vs 90-00769 Name of Respondents Michael Carter Alexander G. Minella Parsons Eng Wal

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-00768 AWARD In the Matter of the Arbitration Between Michael Keschner Claimant vs. William Baquet Respondent ; CASE SUMMARY In a claim filed with the National Association -of Securities Dealers, Inc. on March 14, 1990 Claimant, Michael Keschner alleged the Respondent breached the fiduciary duty owed him by executing unauthorized trades, utilizing high pressure selling tactics,

N.A.S.D. .AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of r*1aimgnt:(5) Eddie B. Scoggin? Robert A. Neilson? John Newnon; Mitchell C. Massey M.D. r A Professional Jfedical Corporation and Washington Parish Radiology, Inc. Profit Sharing Plan 90-01566 (consolidated with 90-00960 t and 90-00764) Name of Respondent: f s \ Legg Mason Wood Walker C. Peck Hayne For C