NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph L, Rowey Claimant(s) vs . Edward A. Careau and Ottring & Co. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03532 CASE SDMMART Claiinant(s) Joseph L. Rowey alleged that Respondent(s) Edward A,. Careau and Ottring & Co. did not execute his order to sell July calls. Respondent(s) maintain that when Claimant contacted them to sell hi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Clyde Powell and 89-03531 Name of Respondents Dean Witter Reynolds, Inc. Rotan Mosle, Inc. and Felix Sanchez REPRESENTATION OF PARTIES Claimant Clyde Powell appeared pro se. Respondents Dean Witter Reynolds, Inc. and Felix Sanchez were represented by Janet Love, Esq. of Dean Witter Reynolds, Inc., San Francisco, CaUfomi

v.. N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ijgpe Q£ Clainant Abraham Of fner 89-03529 Shearson Lehman Hutton, Inc. For Claimant: John W. Timbers, Esq. For Respondent: Paul Williams, Esq. of Shupbach, Williams & Pavone. GBSE-I Statement of Claim filed: December 18, 1989. Claimant's Submission Agreenent signed on: June 22, 1990. Statement of Answer filed: March 11, 1991. Res

N.A.S.D* AMARD NATICNAL ASSOClflira* OF SECmtTIES DEALERS In the Matter of the Arbitration Betwien N««e ^-^Bltnf^tt Mslvln ard Dftbra Sobel V8. Individual Securities, Ltd. Dcminick & DGminick, Incorporated Caso # 89-03527 Ttiiffy) FfirtY nnlmnnr individual Securities, Ltd. vs. Mark ftoss Hobert Ladons cialinants, Mslvin and Debra Sobel, allege that Itee^jundenf, DcmlnicJc & Dcninick, Inc. and Individual S«=urltiee, Ltd., ne

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Cantor Fitzgerald & Co., Inc., (Claimant) vs. Jefferies & Co., Inc. and Kenneth Swain, (Respondents) Case Number: 98-00575 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Cantor Fitzgerald & Co., Inc. ("Cantor"), hereinafter referred to as "Claimant": Michael A. Lampert, Esq., Saul, Ewing, Remick & Saul LLP, Princeton, NJ. Respondents, Jefferies & Co., Inc. ("

1 v: NATIONAL ASSOC I AT TON OF SECURITIE'^ DEALERS, INC. In the Matter of the Arbitration Between Donald Napier Claimant vs. Broadcort Capital Corp. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondents CASE #89-02192 AWARD CASE 5UWARY Claimant, Donald Napier, alleges that Respondents, Broadcort Capital Corp. and Merrill Lynch, Pierce, Fenner & Smith, Inc., as clearing agents for Philips, Appel and Walden, Inc., failed to carry

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between vs. Claimant(s) Respondent(s) Award NASD No. -"if-OO^OS SUMMARY OF ISSUES This case was filed on M OACJ^ 2"^ / ^ & '? • (!iL^t.c^yvv-a-.v-i~" — 7 5- / J ^ +3 ^ 0 u DAMAGES AND RELIEF REQUESTED CJ-^UOVV\-< LW" CXJUJAJLAXL^ AJUYV^':^^ J7 ^/y , ^JLU,^ ^ ^ i DAMAGES AND RELIEF AWARDED On T-XUA^A^ /£^, /

NOTICE OF ARBITRATION AWARD 89-00885 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John & Rosemarie Homa Claimant(s) vs . First Fidelity Capital Corp and Ian R. Hosang Respondent(s) CASE SUMMARY Claimant John & Rosemarie Homa alleged that Respondents First Fidelity Capital Corp and Ian R. Hosang sold Resource Network International Stock at a price lower than voted to Claimants. Responden

RcyiGn._„ . Yc:u- , NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of the Arbitration Between ) ) Catherine G. Bruno Claimant ) ) ) vs. ) CASE NO. 89-00875 ) Prudential-Bache Securities, Inc. Respondents ) and Timothy J. Biebelhausen ) .) SUWARY OF ISSUES Claimant filed this claim with the NASD on March 23, 1989 and alleged sexual di scrimi nation and sexual harassment under Cali forni a Government Cod

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Gary G. Helfert Claimant vs . Charles Singh Respondent AWARD CASE NO. 89-00853 SUMMARY OF ISSUES This case was originally filed with the National Association of Securities Dealers, Inc. ("NASD") on March 3 , 1989, and Claimant submitted an Amended Statement of Claim dated December 15, 1989. Claimant alleged that Respondent misrepresented the risks invo