N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAEZRS In the Matter of the Arbitration Between Allan N. & Alene J. Sbeppard 9Q-Q< Name of Shearson Lehman Hut ton. Inc. Boyd L. Embrey Allan N. Sheppard and Alene J. Sheppard were represented by Cynthia A. Deiters, Esq. of Green, Hoffmann & Dankenbring, St. Louis, Missouri. Shearson Lehman Hutton, Inc. and Boyd L. Qnbrey were represented by Thomas M. Newark, Esq. of Gallop, Johnson & Newman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEM£RS In the Matter of the Arbitration Between Lawrence C. Rabinowitz custodian Dayna R. Rabinowitz 90-00758 Name of R^mndeaitLfflN Gruntal & Co., Inc. Norman Raymond Claimant, Lawrence Rabinowitz, alleged that Respondent, Norman Raymond, recoimended ha place $80,000.00 of funds held as custodian for his daughter, in the "Hits Trust #7" managed by Drexel Burnham Lanfcert, Inc. as a safe

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betwsen" Name of Claimant: Paul A* Harman ARSrTRATlON-CHICAGC Name of Larry Means Marshall Davis, Inc. This claim was initiated by a Statement of Claim filed with the National /..^elation of Securities Dealers, Inc. ("NASD") on or about March 13, 1990, r. Harman ("Claimant"), alleged that Larry Means ("Means") a registered ret- tentative employed b

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-04689 Access Financial Group, Inc., Claimant vs. John Carlos Rojas, Respondent. ATTORNEYS: For Claimant, Access Financial Group, Inc., ("Claimant"), appeared Andrew S. May, Esq., of the firm of Henderson & Lyman, Chicago, IL. Respondent, John Carlos Rojas, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: October 23, 2000. CASE SUMMARY: Claimant alleged that Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between")* Name of f!laimant:fs| Thonas Bongard Name of Shearson Lehman Hut ton, Inc. Robert Farrell ) Case No. 90-00751 ) Heard before the Arbitration Panel: Mark C. Perry, Esq. Penny N. Miller Eduardo J. Palacio, Esq. Public Industry Public This matter was initiated by a Statement of Claim filed with the National Associati

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Elise Andrini ) Claimant ) ) AWARD vs. ) ) NASD NO. 90-00748 Norman Kauffman ) Respondent ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 9, 1990. Claimant alleged breach of fiduciary duty, fraud and unsuitable and unauthorized transactions in the purchase of options

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC n the Matter of the Arbitration Between James Hladek Claimant vs . Castleton-Rhodes , Inc. Raymond J. Carr Allen Boxer Respondents AWARD #90-00747 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1990 Claimant James Hladek alleged stock was purchased for his account without his approval and authorization and the Respondents

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Bong Whan Choi Claimant vs. AWARD NASD #90-00745 Merrill Lynch Pierce Fenner & Smith, Inc. and Ben Blough Respondents Heard before: Donna L. Devlin Public Arbitrator Henry Ott-Hansen Industry Arbitrator Benjamin B. Segel Public Arbitrator CASE SUMMARY Claimant, Bong Whan Choi ("Choi"), alleged Respondents, Merrill Lynch Pierce Fenner & Smi

N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Aria M. Sills 90-00743 Mamp of 3fl3gPOJ| r *f'Pl"{P) E.F, Hotton & Conpany, Inc. Kiddter, Peabody & Co., Incorporated Larry Hilliken Claimant Aria M. Sills was represented by Dwaine D. Piskens, Esq. Scottsdale r Arizona, Jtespondent E.F. Hutton & Co., Inc. was represented by Elizabeth Beasley of Keesal Young & Logan of Los Angel

N.A.S.D. AWARD Arbitration ® National Association of NATIONAL ASSOCIATION OF SECURITIES DEALERS O^E^f B^ar Suite 1000 Ft. Lauderdale, Rorida 33301 in the Matter of the Arbitration Between t 305 ) 522-7391 Name Qf_ClaiiB&nt.fs^ Claire Keneally CASE #90-00735 Name of R&SCCTKtenti f S1 Sally Hooper Heard before the Arbitrators John P. Cullem, Esq. Public Arbitrator This claim was initiated ty a Statement of Claim filed with the