N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Betwaeri Marmq of ClAimant(s] James Defee 90-00632 Name of Respondentfs^ A.G. Edwazxis & Sons, Inc. CASE SatKRI In a Statement of Claim filed with the NASD on March 2, 1990, Claimant James Defee alleged that a broker with Bespondent A.G. EdMards and Sons, Inc. fraudulently induced Claiinant to deliver funds to Respondents' office under the pret

N.A.S.D. MOOS) UBcnonL asHnfTrffiTTii GF SBOOBXHSS IBUBBS g Inc. and 90-CXM64 HHffiweT O. Buggie Bwy tail OP EMBCPaS Claimant FaiaeMebber ajpeaxed and \eu9 represented by counsel Patrick Bswley, Esq. Respondent Michael D. Riiggle appeared and Mas repocesented by Mlcbael Salcldo, In a Stat^tent of Claim filed \«lth tbe Matdcoal Assoclatd.Gn of Securities Dealers, Inc. ("NASD") cn or about February 13, 1990, Claimant PadneMiebber, Inc. ("

N.A.S.D. AWARD MATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ Eugene L. and Ronda W. Wee Name of Respondentfs1 Kennedy, Cabot & Company Securities Settlement Corporation 90-00457 Arbitration Nattonal Association of Securities Dealers. Inc 425 California St., Rm. 1400 San Francisco, CA 94104 (415) 781-3343 FAX: (415) 362-9946 SUMMARY OF ISSUES Tl\io -j::^ v;as file

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert Reimers V8, Shearson Lehman Hutton, Inc. Claimant Respondent AWARD ) NASD NO. 90-00451 ) REPRESENTATION Claimant was represented by Randall K. Schmitt, Esq. of the firm McCorriston Miho & Miller and respondent was represented by Catherine J. Pratt, Esq. of the firm Keesal, Young & Logan. SUMMARY OF ISSUES This case was filed with

N.A.S.D. AWAF© Volume ^. Number. NATIONAL ASSOCIATION OF SECURITIES DEALERS Year ^( In the Matter of the Arbitration Between TjarpR of Clajjrantfsl ^Salone & Associates, Inc. 90-00434 Nans 9£ Respondentfs^ Richard Forrest Moore In a Statement of Claim filed with the NASD on February 9, 1990, Claimant Malone and Associates, Inc. alleged that Respondent Richard Forrest tfcore, a former registered representative with Malone frcm June 4, 1984 to

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between James A. Mehling Claimant vs. County NatWest Government Securities, Inc. Respondent AWARD Case #90-00381 Heard before: Thomas E, Duggan, Esq. Stephanie Morse," Esq. Victor F. Alvarez Industry Arbitrator Industry Arbitrator* Industry Arbitrator Claimant was represented by: Jeffrey Liddle, Esq, O'Connor, Finkelstein & Robinson. o

I! • ' O NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs . AWARD Mark Morales Respondent j CASE NO. 90-00288 } Claimant alleged Reapondent breached the terms of a promissory note dated May 1, 1987, which was executed at the time Respondent entered Claimant's employ. Respondent did not STobmit an Answer to the claim. Dmfigg AMP maxx RBOWSTEP Claimant req

N.A.S.D. AWARD 'jf-]'] ' 1 \VS5 NATIGMAL ASSGCIATIGN QF SECURITIES DEALERS In the ]Vfi^ of the Arbitration Between Wedbush Morgan Securities, Inc. vs NASD Arbitration No. 90-00284 Joseph DeBeauchawp For Claimant/Counterrespondent; Michael Nesteroff, Esq. and Christoher B. W(db, Esq. of Lane, Powell, Spears and Lubersky For Respomdent/Counterclaimant: Vincent R. Larson, Esq. of Riddell, Williams, Bullitt and Walldiishaw Statement of

^1 Jir • Arbitration NATICNAL ASSOCIATICN CF SBCQRITIES DEAUBS In the Matter of the Arbitration Between Painaii^iser, Incxarporated vs - 90-00232 UMBD MamR nf RRffrxnrimr. Gregory R. Stuart . .r, ^ National AModaHon of N.A.S.D. AIARD Sacuritlaa Daatora, Inc. NASD Financial (Center 33 Whitehall Sfreef New York, New York 10004 Claimant, PaineHebber, Inoorporated, allegfes that Respcndent, Gregory R. Stuart, in ocnnecLion vdth his

Regioii T.^ Volume,^, Number O-^ Year 9/_ ^ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the ifetter of the Arbitration Between Nams of Claimant Steven w. Kauf finan 90-00213 Nama of p< Miy|tnf^t(a) (>Llck and Reiliy, Inc, Joseph G. KathrBin, Jr. In a claim filed with the National Asaociation of Securities Dealers, ("NASD") on or about January 18, 1990, Steve Kauf finan ("Claiirant") sffl^^d that Joseph G. KathiBin