PUBLIC NATIONAL ASSOCIATION CF SECURITIES DEALERS, INC. In -he Matter cf Arbitration Between Ann and John Fortin, JT TEN Claimant vs . First Eagle Inc. Norman Egerton Phillips Respondent CASE 890-03217 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 14, 1990, Claimants Anne £ John Jornin, who appeared Pro 3e, alleged that Respondent First Eagie_ Inc. and Norman Sge

Arbitration »> N.A.S.D. AWARD National Association of Securities Dealers, inc. Center -ASSOCIATION OF SECURITIES DEAEERS - New York. N.Y. 10004 In the Matter of the Arbitration Between FAX (212)858-4389 Name of Claimant Donald A. Meis 90-03214 of Ross Mandell Neil Sullivan For Claimant: R. Jerone Jabbour, Esq. of Jabbour & Burns. For Respondent Ross ifandell: Robert C. Boneberg, Esq. of Gamhy Karlinsky & Stein. Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE f90-03212 AWARD In the Matter of the Arbitration Between Maria J. & James Stepanic Claimant vs. Prudential-Bache Securities n/k/a Prudential Securities, Inc. Walt Pierce Peggy Yoos Respondents CASE SUMMARY Maria J. and James Stepanic, in a claim filed with the National Association of Securities Dealers, Inc. on November 14, 1990, alleged that Prudential advisors, Walt Pier

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kenneth Duhy and Jennifer Duhy, JTWROS Case #90-03211 Claimants vs. J.F. Lowe and Company, Inc. Respondent AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 11, 1990, Claimants Kenneth and Jennifer Duhy, who appeared Pro Se, alleged that Respondent J.F. Lowe and Company, Inc. sold without a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raymond B. Stoyanoff & Irene D. Stoyanoff, Claimants v. Bear, Stearns & Co., Inc. and Matthew J. Leary, Respondents Case Number: 00-04566 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: T. Randolph Catanese, Esq. Catanese & Wells Westlake Village, California For Respondents: E

ArtHtnrtteft National AModation of Sacuritiaa Oaalani, inc. One £ast Broward Boulevard Suit* 1000 Ft. lauderdaJe, Flonda 33301 N.A.S.D. AWARD (305) 522-7391 NATIONAL ASSOCIATION OP SBCDRITTES DEALERS In the Matter of the Arbitration Between of Doninicfc & Dcminick Incorporated 90-03208 Name of Respondent (a) Benjamin Patipa, MD HXUJLM For Claimant, Donlnick & Domlnick Incorporated ("Domtnick") : Susan Yoffee, Esq. of Plan

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; i Robert Stithem ; Claimant ' ; CASE $90-03203 ; AWAR& Donaldson, Lufkin & Jenrette Securities ; Corporation ; / Respondent ; CASE SUMMARY Pro Se Claimant Robert Stithem, in a claim filed with the National Association of Securities Dealers, Inc. on November 13, 1990, alleged that an employee of Respondent Donaldson, Lufkin and Jenrette Sec

Arbitration « * < ? -r, *r.T»r*-» National Association of N. A. S .D . AWARD Secunties Dealers. Inc. _ ._ NASD Financial Center NATIONAL ASSOCIATION OP SECURITIES DEALERS 33 Whitehall Street _ New York. N.Y. 1 0004 In the Matter of the Arbitration Between FAX (2121 853-4389 Name of Edward L. Beardshear 90-03201 Shearson Trf>>man Brothers, Inc. Lawrence Manierre For Claimant: EoVjard L. Beardshear ("Claimant") represented himself.

® Arbitration N.A.S.D. AWARD National Association of Securities Dealers, Inc. NKTICNM, ASSOdATICN OF SECURITIES DEALEKS New York, New York 10004 In the Matter of the Arbitration Between Name of Mary Elizabeth Murray 90-03198 Prudential Securities Inc Gerald Swirsky For Claimant Ifary Elizabeth Murray ("Claimant") : David E. Shellenberger a sole practitioner. For Respondents Prudential Securities, Inc. ("Prudential Securities, Inc.")

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sonarie, S.A. Claimant vs. Merrill Lynch, Pierce, Fenner and Smith, Inc. Respondent Case #90-03197 AWARD CASE SUMMARY. Sonarie, S.A. by Maurice Silberstein, Attorney-In-Fact f in a claim filed with the National Association of Securities Dealers, Inc. on November 13, 1990, alleged that Respondent failed, for over six weeks, to execute the