NATIONAL ASSOCIATION CF' SECURITIES DEALERS, INC. f In the Matter of the Arbitration Between t Merrill Lynch, Pierce, Fenner k Smith, Inc. Claimant 6 Counter-Responaent AWARD vs . Mitchell C. Carson lASD i90-009 8 3 Respondent Counter-Clamant SUMMARY OF ISSUES ClaiHiant: ailecjcvl "sspcnd&nt bT'^achcd ths wcrrr.c: sf t.^.c Financial Consultant Trainee Agreement executed Marcn 14, 1989. Respondent adiriitted he executed the Fi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Name of Claimant Lovett, Underwood, Neuhaus & Weti), Inc. 90-00957 Name of Respondent Stephen Masterson Reckling Claiinant Lovett, Undervrood, Neuhaus & Weti), Inc, was represented by William D. Nelson of Boettcher & Ccnpany, Denver, Colorado. Respondent Stephen Masterson Reckling was represented by James Max Moudy, Houston, Texas. CASE SOWaR

Region. Volume ^ Number. N.A.S.D. AWARD ^ Year // ^ _ NATIONAL ASSOCIATICN OF SECURITIES DEALERS ^) fO 3>Oi3 4 In the Matter of the Arbitration Between NfmiP^ of r.laijTant(s) Daniel Hajduk 90-00882 Name of Respondent(s) Illinois Cdtpany Investments, Inc. CflSE SBfftRI In a cladm filed with the National Association of Securities Dealers, Inc. ("NASD") on or about March 28, 1990, Daniel Hajduk ("Claimant") alleged that the Illino

Region, N.A.S.D. AWARD NATICNAL ASSOCIATICN OF SECURITIES DEALERS In the ]Vfeltr of the Arbitration Between Name of Claiinant:^a ^ VincKit DeLido 90-00845 Name of ResTgnytentifff 1 Michael Carber Al Minella IHeard before: Name Public/Industry Henry Baiter Public Arbitrator This claim was initiartieci bv^Statjeraent of Claim filed with the National Association of Securities DSBB^ . ("NASD") on March 21. 1990. Claimant Vincent De

Region '-^ ^ VohuneJ^L^ Number, N.A.S.D. AWARD Ye«L.5j NATIONAL ASSOCIATIC*! OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiinant J.W. Gfert & Associates Inc. 90-00831 NamP nf Refifnrvtoni- KExmelh Dodd CASE SUMUg In a claim filed with the Naticanal Association of Securities Dealers, Inc. ("NASD") on or about March 19,1990, J. W. Gant & Associates, Inc. ("Claimant") alleged 4iat Kaineth Todd ("Respondent") wa

NATIONAL ASSOCIATION OF SECURITIES DEALERS Vclume Number In the Matter of the Arbitration Between Spero Partnership Claimant{s) vs . Hutchison Financial Corporation Respondent(s) NOTICE OF ARBITRATION AWARD 90-00711 CASE SUMHART Claimant(s) Spero Partnership alleged that Respondent{s) Hutchison Financial Corporation has not paid total balance due pursuant to promissory note. Respondent has not responded. RELIEF REQU

N.A.S.D. AWARD NATICNAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ Elizabeth Koehler and Bradford Halt 90-00681 Name of Respondent/ Shearson Lehman Hutton, Inc. Richard J. Day James Reber Heard before: Public/Indiigtrv Robert D. Sussin Industry Chair Sondra Taggart Industry Panelist George N. Roy Industry Panelist Claimants vrere represented by Mr. Irving Keschner, Esq. and

'J.A.S-D. A>-7\RD NATIONAL ASSOCIATICN IZS DEALERS In the Matter of the x-. Nane of Claimanr - R. Steven Robles Barrett Day Securi- E]evld Berger Cliff Ghazaii 90-G0665 .;Li.=f i.;ase - v;.: -.n>g< RKY OF T?;-TT^S ."e National .nssocicition ot Securities ueaiers, Claiinant allegec >a;ii^uuTori2ed Ci_&.:*^ig iji stocks and options. Respondents alleged th^t Clai.Tant was kncwledgeable in the stock market cind that all trades

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Fiero Brothers, Inc. Name of Respondents Waldron & Co., Inc., Cery Perle, Ed Harris Wedbush Morgan Securities, Inc., Ed Wedbush, and Key West Securities, Inc. Arbitration No. 98-00587 REPRESENTATION For Claimant: For Respondents Waldron & Co., Inc., and Cery Perle: For Respondents Wedbush Morgan Securities,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02924 Peter Scanlon, claimant vs. Salomon Smith Barney Inc., Gabriel D'Amica, and Susan Lobosco, respondents. ATTORNEYS: Claimant appeared Pro Se, Olive, IA. Respondents appeared through Ann Parry, First Vice President and Associate General Counsel, New York, NY. DATE FILED: July 7, 2000 CASE SUMMARY: Claimant alleged that respondents failed to transfer 250 shares of Exxon-