N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Mrs. Munira H. Ismail & Ismail 90-00645 Name of E.F. Hutton & Company, Inc. David Boyd SOMMRRT OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 5, 1990. Claimants alleged that, in connection with the sale of Kemper Option Income Fund and simultaneous purchase of shares of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Linda Quirk Claimanr ) ) vs. ) AWARD ) Prudential-Bache Securities, ) Inc. Respondent ) CASE NO. 90-00643 _J SUMMARY OF ISSUES Claimant alleged Respondent misrepresented the risks and suitability in accordance with Claimant's financial objectives and station in life in the recommended investment in a limited partnership interest in Spend

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Name of riaimant(s) George W. Gatter CASE #90-00642 Name of R< ag r nrv ten't (S) Prudential-Bache Securities Inc. Anthony L. Guzzetta Heard before the matters of the Arbitration Panel: Robert Herschmann, Esq. Public Judy Avey Public Leslie Bishop Industry Claimant, George Gatter ("Gatter"), was, represented by Russell L.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC AWARD Marie Douglas and Glenn Douglas Claimants V. #90-00638 Prudential Bache Securities, Inc. Respondent CASE SUMMARY The Statement of Claim was filed with the NASD P Inc. on March 5, 1990. Claimants, Marie and Glenn Douglas, alleged that Respondent, Prudential Bache Securities , Inc. committed a misrepresentation in guaranteeing Claimants against any losses in their equity acc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Calvin E. and Marian G. Hilton 95-01719 Name of Respondent Jack White & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 7, 1995 Claimants Calvin E. and Marian G. Hilton ("Claimants"), who appeared Pro Se, alleged that they heid account #026-284000 with Respondent J

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD In the matter or the Arbitration Between Name of Claimantfs) Keith R. Thomas Marcia H. Thomas A ... NASD Arbitration v No. 95-01716 Name of Respondent Is) Stratton Oakmont, Inc. Bear, Stearns & Co., Inc. Jordan R. Belfort Kenneth 5. Greene Daniel M. Porush David S. Samalin Richard Bronson Lee Rough REPRESENTATION For Claimants: Ralph A. Gant, Esq,,

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael and Kristopher Deapen 95-01710 Name of Respondents New England Securities Corp. Stanley Walters CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 6, 1995, Claimants Michael and Kristopher Deapen ("Claimants"), through their representative and counsel, Robert M. Roth, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. vs. 95-01689 Name of Respondent Mario J. Ferrari REPRESENTATION For Claimant, PaineWebber, Inc., appeared Evan J. Charkes, Esq. in-house counsel for PaineWebber Inc. located in New York, New York. For Respondent, Mario J. Ferrari, appeared Dan A. Dniz, Esq., sole practioner, Sea Girt, New Jersey. CASE

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stephen D. Davvahare, Claimant Vs. Case Number: 00-04677 Morgan Stanley Dean Witter, Respondent. Hearing Site: Cincinnati, Ohio REPRESENTATION OF PARTIES Claimant Stephen D. Dawahare ("Dawahare") was represented by Barry D. Hunter, Esquire, of Frost Brown Todd, LLC, Lexington, Kentucky. Respondent Morgan Stanley Dean Witter ("MSDW") was represented by Todd E.

NASD Regulation, Inc., Award In the Matter of Arbitration Between Louis S. Brouillette Claimant, and No. 95-01683 Jeffery Steven Stone & Smith Barney Inc. (f/k/a Smith Barney Shearson Inc.) Respondents. REPRESENTATION OF PARTIES Claimant, Louis S. Brouillette ( "Brouillette" ), was represented by Philip C. McGahey, Esq. and Mr. Paxton, Esq. of the Law Offices of Paxton, Beal & McGahey, located in Arlington, Texas. Respondent, Smith Barne