NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. DUDLEY W. SCHILLING CLAIMANT V. INTERSTATE SECURITIES CORP. & DONALD L. TARKENTON RESPONDENTS AWARD #89-03487 CASE SUMMARY The Statement of Claim was filed on December 12, 1989. Claimant, Dudley W. Schilling alleged that he was unsophisticated and had no investment experience when he opened an options account with Respondents, Interstate Securities Corp. and Donald L. Tarkenton

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the JN/lBlfer ot tfie Arbitration Betvreen Name of Claiinant(s) Arthur F. Powell 89-03514 Iferrill Lynch, Pierce Fenner & Smith Inc Jay Prigerson Heard before: Name Public/Industry Stan West Esq. Public Arbitrator Anne Cugliani public Arbitrator Paul E. Barr Securities Arbitrator CRSEgMftRY This matter was initiated by a Statsirent of Claim fileci with the National As

Arbitration NationalAssociation of Securtties Dealers. Inc. NASD Financial Center 33 Wiiiteliaii Street New York, N.Y. 10004 FAX (212) 858-4389 89-03511 N.A.S.D. AWARD NATICNaL ASSOCIATICN OF SECORITIES DEALERS In the Matter of the Arbi tea ticn Between Name of Claimant Frank Mercede, Jr. Name of Respondents CSruntal & Co., Inc. Josephthal &Co., Inc. SeflvetBe F. Gaglio For Claimant: John E. Lawlor, Esq. For Respond

\ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Victor A. Roubique Claimant vs. 89-03485 Shearson Lehman Hutton, Inc. and John M. Griffith Respondents = REPRESENTATION OF PARTIES Claimant Victor A. Roubique was represented by Michael A. Patterson, Esq. of Long Law Firm, Baton Rouge, Louisiana. Respondent Shearson Lehman Hutton, Inc. was represented by Jam.es C. Gulotta, Jr., Esq.

NATIONAL ASSOCIATION OF SECURITIES DEALERS NOTICE OF ARBITRATION AWARD 89-03484 In the Matter of the Arbitration Between Irving Rubin Claimant(s) vs . First Fidelity Brokers, Inc. Respondent(s) CASE SUMMARY Claimant(s) Irving Rubin alleged that Respondent(s) First Fidelity Brokers, Inc. negligently mishandled Claimant's sell order. Respondent denies Claimant's allegations. RELIEF REQUESTED Claimant(s) Irving Rubin requested

N.A.S.D. AWARD fJATIONAL i^SCCIATIQN OF SECURITIES DEALERS In the Matter of the Arbitration Estween Name of np^inwni-rc;| Patsy E^th HcRre and Fred Waters 59-03478 Shearson LeJman Hutton, Inc. Michael Brown This case was filed with tihe National Association of Securities Dealers, Inc. ("NASD") on January 23, 1990. Claimants, Patsy Ruth Jtowe ("Howe') alleges that she opened a brokerage account with respondent Shearson Lehman Hutton ("Shearson"

NATIONAL ASSOCIATION OF SECURITIES DEALERS VCiuii: Year ?6' ; Numoer In the Matter of the Arbitration Between Henry A. Thur, Jr. Claimant(s) vs. Quick & Reilly, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03476 CASE SUHH/UIT Claimant(s) Henry A. Thur, Jr. alleged that Respondent{s) Quick & Reilly, Inc. failed to sell Claimant's shares of a certain issuer's common stock subject to a tender offer. Respondent(s) main

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among: Randy M. Bohon, Claimant, Case No. 89-03474 vs. Vanderbilt Securities, Inc. and Ed Kirsch, Respondents. CASE SUMMARY Claimant, Randy M. Bohon ("Claimant") alleged that Respondents, Vanderbilt Securities, Inc. and Ed Kirsch ("Respondents") failed to properly execute his sale order of 6000 units of First AmeriCable Corp. C"FATV") units. Each

Arbilraiion N.A.S.D. National Association of NMICMM. MSOCIMICN QP SBC0RITIE3 DEALERS NSp^anSrCemr; 33 Whitehall Street In the Matter of tlie Arbitration Between New York, New York 10004 Jobn D. EestvlX vs 89-03407 Ham of T^fwnTdgnta. Stephen A. Staglitz Stephen A. Steglitz,Inc. Heard tefore the members of tha Azbitration Panel: Maillfi. PublTe/TTidu«rt-.TY Stuart N. Kingoff, Esq. Industry - Cha-irperson C. Anthony Bell IiKJustry

23-'V3Sl 16-21 3.K. CW.G. DENUER 303 I?e P.a" O ai 05: JCJi='M -MA«D DIBT, NO- • i='C3 r?.A.5.D. AP«ARD NAXICMAL A360CIATICN OT SECURITIES D&ALTO In tha Mattar of tl» AzbltxtUon htioimm Jamas A. A nancy L. :«rarl«ni 89«03390 street m&t Hdldings lAnodbm V. AkteusaaM S. WiUljm iMley QIann A* Wffcriiion. mr riAanelal Coqp. HMM MfOfil • Mm Aablie/Ixxhvtxy 5. Laa Tarry, Jt./ Baq. Public Aidbitrmtor Thl6 claim \M lAltltMl ty a ttettm