NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Peter E. Mulligan Christine Mulligan : AWARD Claimants vs. Drexel Burnham Lambert, Inc. Richard Geisman George Feneis Respondents Case #8ft-03017 #88-01194 #88-01195 CASE SUMMARY The claims Orexel Burnham Lambert, Inc. vs. Peter Mulligan, and Orexel Burnham Lambert, Inc. vs. Christine Mulligan were filed with the National Association o

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James Lawrence Wood, (Claimant) v. Shamrock Partners, Ltd, Preferred Securities, Inc., Mark Chavez, and Robert J. Vitale, (Respondents) Case Number: 00-02917 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant James Lawrence Wood ("Wood"): Andrew M. Green well, Esq. of the firm Harris & Green well, LLP located in Corpus Christi, Texas. Respondent Shamrock P

N.A.S.D. AWARD NATICNAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of t.ie Arcxtration Between Frank C, AntOTDvich Eve Nichols Elsa, Richard J. and Dennis J. Bucolo 99-03694 89-02699 (Consolidated Case) 39-02704 Batenan Eichler,Hill Richards,Inc. Melvin M. VU)flcevich Heard before: Henian R. Friedberg, Esq. Public Ian L. Sitren Public Luther D. Prater Industry These matters were initiated by Statements of Claim filed with

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles W. Hebel, IV, Claimant Vs. Salonfion Smith Barney, Inc., PaineWebber, Inc., and Junius Verne Beaver, III, Respondents. Case Number: 99-00090 consolidated with 99-00092 Hearing Site: Louisville, Kentuclcy REPRESENTATION OF PARTIES James P. McCrocltlin, Esquire, Louisville, Kentucky, represented Claimant, Charles W. Hebel, IV ("Claimant"). V

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALEEtS In the Matter of the Aibitration Between N^e of Claimants Robert J. and Delores L. Hale 93-03351 Name of Respondent Hibbard, Brown & Co., Inc. REPRESENTATION For Claimants: Robert J. and Delores L. Hale ("Hales") were represented by Jane L. Stafford, Esq. of Kansas City, Missouri. For Respondent: Hibbard Brown & Co., Inc. ("Hibbard Brown") was rqpresented by Steven B. Caruso of Hib

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Judith Toby Claimant(s) vs. Blinder, Robinson 6 Co., Inc. vs. George Grunfeld-3rd Party Respondent Re8pondent(s) NOTICB OF ARBITRATION AWARD 88-01665 The Arbitrator, Albert A. Rapoport, selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a sulxntission to arbitration signed

JPN.28.19S9 p AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Wilpert E. Nahrup and Myrna E. Nahrup as Trustees of the Nahrup Family Trust 98-00527 Names of Respondents Hillcrest Financial Corp. Boris Rentzer Ephram Pollack Names of Third-Party Respondents Baird Patrick & Co-, Inc. Investors Associates ( Inc. Sierra Brokerage Services, Inc. REPRESENTATION For Wilbe

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between HARRY A. and MARY M. GOLDENBERG, ClaImants, and JANNEY MONTGOMERY SCOTT, INC., Respondent. In the Matter of the Arbitration Between HARRY A. and MARY M. GOLDENBERG, and GOLDENBERG & MACKLER PENSION and PROFIT SHARING PLANS, and Claimants, JANNEY MONTGOMERY SCOTT, INC., Respondents and Third-Party Claimant, and WILLIAM H. MONEY, JR.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of. the Arbitration Between ) STEVEN F. & SUZANNE B. CALDWELL, JEFFREY J. F. EBY., BRIAN E. PECON. BENJAMIN T. PO;, M.D., CHARLES A. RICHARDS, PERVIE B. SIMPSON. JR. AND JOHN G. TUCKER ) and PAINEWEBBER. INC. Claimants CASE NO. 88-03407 88-03414- 88-03405- 88-03392- . - 88^,03391 88-0"338S. ^^03383 Respondent CASE SUMMARY In claims filed with th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of. the Arbitration Between ) STEVEN F. & SUZANNE B. CALDWELL, JEFFREY J. F. EBY., BRIAN E. PECON, BENJAMIN T. PO;, M.D., CHARLES A. RICHARDS, PERVIE B. SIMPSON, JR. AND JOHN G. TUCKER and PAINEWEBBER, INC. Claimants CASE NO. 88-03407 88-03414'' 88-03405' 88-03392- - 8acp3391 88-0"338a^ 2^03383 Respondent CASE SUMMARY In claims filed with the NASD