~1 ® N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Mame of Claimant(5) Steven A. Eckstein Name of Respo^nt(s^ Leonard Bolnick Heard before the Arbitrator: Jess G. Tucker Arbitration National Aaaoctatlon of Sacurttlaa Oealera, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale. Florida 33301 (305) 522-7391 Case #90-01342 This claim was filed with the Nat

61^30^91 15:50 Z 314 289 6999 fl.G.E. LflU DIU. 62 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between A.G. Edwards & Sons, Inc. Clainiant(s ) vs , Jeffrey Janz Respondent(s) NOTICE OF ARBITRATION AWARD 90-01306 CASE SUMMARY Claimant(s ) A.G. Edwards & Sons, Inc. alleged that Respondent(s) Jeffrey Janz is liable for damages pursuant to a Training Agreement between the Parties. Respondent

NA.S.D. jRWRRD NmCNftL ASSOCIftTICN CF SEXJJRi'i'UiS DEaLEES In the IVfetter of the Adjitration Between Name of ClalTmnt ^ Offerman & Oo. Inc. 90-01244 name of Respondents BamiltoQ Investments, Inc. William B^dse For Clainant: Steven M. Phillips, Esq. of Fcpham EadJn Schnnbrich & Kaufman, Ltd., Mirmeaixilig, lUnnesota. For Rei^x3Ddents: Laureoce C. Rubin, Esq. and Cbristopber Oaks, Esq. or Shefsky & Froelich, Ltd., Chicago, Illinois.

N.A.S.D. AWARD NATIGNRL ASSOCIATION OF SECURITIES DEALERS In the lyfetter of the Arbitration Betv.een Name of r^rMm^T^t,^^ Spelman & Co. 90-01243 Kent Houston Heard before: Hiis matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on May 2, 1990. Ciaijnant alleged that at the tijna Houston vas terminated he had a debit balance for coimission advances v^ch were to be repaid but wh

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ±n ttie Matter ot tne Arbitration Between ) PaineWebber, inc. j Claimant & ) Counter-Respondent | AWARD vs . Kirk J. Bonham Respondent & Counter-Claimant NASD #90-01198 srowvRT or TS.m5 This case was filed with the National Association of Securities, Dealers, Inc. ("NASD") on April 27, 1990. Claimant alleged Respondent breached the terms of a promissory note dated November 30, 1988,

In th« Matter oi th« AJiitratica B«cw«aQ Prudtttial-Bache Securitiaa, in:. (new kawa Pswdential Securities, Inc.) 90-01166 Bugflne L. Beyla, III For dsdjnantt Staphaa W. Pt«atsa, Esq., Arthur ?. MathawB, Saq., and J. B^dadth Burr, 2aq. all of Wilmer, Qitler & Sidcariag. For RespaaJant: Jcel H. Beiaataia, Ssq. o£ Santor, Beaaaataia & Kantar and Ilichard L. Savia, Eaq. Statsoeat of Claim filad: 4/24/90. Clai2na&t*s Suhoiasien Agraoect aignad: 3/23/9

N.A.S.D. AI-ARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ PaineWebber, Inc. Name of t^p^nrton^fg Gary Koi^othecras Case No. 90-01147 Heard before tihe members of the Arbitration Panel: CASK g—MY This matter ;^s initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on April 23, 1990. Claimant, PaineWebber, Inc. ("PaineWebber"),

AWARD .- NASD Regulation, Inc. In the Matter of Arbitration Between Cecilia Bukaty as Attorney-in-fact for Edward F. Bukaty, Jr. Claimant, . and No. 98-0588 Lynne Luby, Respondent. REPRESENTATION OF PARTIES Claimant,. Cecilia Bukaty, as Attorney-in-fact for Edward F. Bukaty, Jr., ("Claimant") was represented by Mark A. Bukaty, Esquire of Dallas, Texas. Respondent, Lynne Luby, ("Respondent"), was represented by Gary A. Barnes, Esquire

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CASE HOWARD L. SCHEINER V. ADVEST, INC. DATE FILED: June 15, 1989 pj^g^ SCHEDULED April 6 , 1990 DECIDED ^P^^^ ^ CASE SUMMARY:* Cu.stnmpr v—mf^mhf^r riispute. Claimant allogco unauthoria^ sale of shares by respondent member firm to satisfv a inargin call. CLAIMANT'S INITIALS SESSIONS: i ^ i RESPONDENT'S THIRD PARTY'S INITIALS CLAIM AND AWARD DATA: Return of shares CLAIM < 7n n

/ N.A.S.D. AHARD NKnCNAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of ttvs Arbitration Between Dean Witter Reynolcis, Inc. 90-01063 Michael Galeck TMs case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 12, 1990. Cledjnant Dean Witter Reynolds, Inc. alleges that Respondent Michael Galeck opened a margin account with Claiinant and ordered the purchase of a certain carmon stock. The Bespondent issued