p NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Crystal Eng Claiinant ( s ) vs . Regional Clearing Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03563 CASE SUMMARY Claimant{s) Crystal Eng alleged that Respondent{s) Regional Clearing Corp. caused Claimant to suffer a loss due to their failure to respond to Claimant's requests to liquidate certain accounts and purchase securities in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between ) Paul L. Stribling Claimant ) ) vs . ) AIAARD The Stuart-James Co., Inc. Respondent CASE NO. 89-03^558 and Third-party Claimant vs . Thomas Rhodes Third-party Respondent ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on December 20, 1989. Claimant alleged that Respondent

Year 9^ ^ ^, Nuaibej" '/ Arbitration N.A.S.D. MRRD NATICNAL ASSOCIATICN OF SECURITIES DEAI£RS In the Matter of the Arbitration Betweeni Nama of Clal^tfs^ Lorretta G. Shive Name of Respondentfs) Raymond James & Associates, Inc. National Aaaoctatlon olf Securttles Dealara, Inc One East Broward Boulevard Suite 1000 Ft. Lauderdale, Rorida :3330i (305) 522-7391 CASE #89-03557 Heard before the members of the Arbitraticwi Pane

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Janssen/Meyers Associates, L.P. 98-00576 Name of Respondent . - .--,... s «eigfr-- • Guido Torres REPRESENTATION For Claimant Janssen/Meyers Associates, L.P. ("Claimant") appeared Victor J. DiGioia, Esq. of the law offices Goldstein & DiGioia, L.L.P., located in New York, New York. Respondent Guido Torres ("Respondent") appeared pro se. CASE

NJ^.S.D. AWARD NATIQNfiL ASSOCIATICN OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Name of Clahnantrs^ Ecank Parker Manp of Resnondflntra^ Donald P. Whitley Cameron M. Wallace 89-03551 Claiinant Frank Parker appeared pro se. Respondents Paineiflettm:, Inc., Donald P. V\4llll^, and Cameron M. Wallace were represented by Patricia E. Cowart, Esq. of VedDefiiedoet, Inc., Miami, Florida. Statai^t of Claim filed: Decerober

N.A.S.D. AHARD NATICNAL ASSOCIATICN OF SECURITIES DEALERS In tJie Matter of the Arbitration Between Name of Claimant/ Charles and Janice Savoye HA; 1 99^ 89-03546 Name of \ Dean Witter ReyTToids, Inc. Shearson Lehcran Hutton, Inc. Wiley Gardi^ Claimants Charles and Janice Savoye v«re represented hy Jacques F. Besxxi of the Law Offices of DeRussy, Bezou & Matthews, Ne»f Orleans, Louisiana. Rsspondents Wiley Gaxdner and Shaars

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Betwe€3n Ethne G. McGehee Claimant vs. Titan Value Equities Group Robert Gwillim Respondents AWARD NASD NO. 89-03!)45 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on December 19, 1989. Claimant alleged fraud, negligence, breach of fiduciary duty, lack of suitability, liability of principal fo

N.A.S.D. AWARD In the Matter of the Arbitration Between NATHANIEL H. KAROL, LILIANE L. KAROL AND NATHANIEL H. KAROL & ASSOCIATES, LTD. Claimants and No. 89-03542 BEAR STEARNS & CO. Respondent REPRESENTATION OF PARTIES , Claimants were represented by Robert M. Queeney, Esq. of McBride, Baker & Coles, Chicago, Illinois. Respondent was represented by Howard Suskin, Esq. of Jenner & Block, Chicago, Illinois. CASE SUMMARY In a Statement

N.A.S.D. AHARD NATICNAL ASSOCIATICN CF SECURITIES CSAIZRS In the Ptetter of the Arbitration Between Sally H. Kofman Name of R USX Dean Witter Reynolds, Inc Rctert R. Wachholdar Case No. 89-03539 Heard before the menters of tJie Arbitration Panel: Casey W. Mills, Esq. Arnold Sarrow Edward S. Boslow III CASE SUMARY ThiM claims uoa filed with the NASD, Inc, on Decaiter IB, 1969. The hearing uoa conducted in Fbrt Lauderdale, Flo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Clarence Williams, Jr. Claimant vs . E.F. Hutton and Company, Inc. n/k/a/ Shearson Lehman Hutton, Inc. Respondent AWARD Case #89-03533 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 18, 1989 Claimant Clarence Williams, Jr. alleged the Respondent charged twenty two unwarranted or fraudulent