Soon NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Shearson Lehman Hutton, Inc. Claimant vs . Ajit Bhamrah Respondent AWARD NASD NO. 89-02960 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on October 23, 1989. Claimant alleged a breach of an oral and written contract for failure to pay an unsecured debit balance resulting from the

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ashleigh P. Sawdon and 02-04480 Nashville, Tennessee Name of Respondent Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Ashleigh P. Sawdon ("Claimant") was represented by H. Naill Falls, Jr., Esq., Fall & Veach, Nashville, Tennessee. Prudential Securities, Inc. n/

NASD N.A.S.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the J-!atter of the Arbitration Between of Claimantss) Donald E. Massey; Don Massey Cadillac Inc. Don Massey Cadillac, Inc. Revised & Amended Employe*3S' Profit Sharing Plan & Trust Name of Respondentfs) PaineWebber, Inc. Michael Alioto National Association ot Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10

NASD N.A.S.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the J-!atter of the Arbitration Between of Claimantss) Donald E. Massey; Don Massey Cadillac Inc. Don Massey Cadillac, Inc. Revised & Amended EtTiploye*3S' Profit Sharing Plan & Trust Name of Res|pondent f s) PaineWebber, Inc. Michael Alioto National Association ot Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New Yo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitradon Between Name of Claimant Lovett, Mitchell, Webb & Garrison, Inc. and Name of^ Respondent(s) James R. Cleveland Susan Zapalac William T. Cone No,S; 89-02941 , 89-02962 , 89-02963 REPRESENTATION OF PARTIES For Claimant: Julie Wilkerson, Esq, For Respondents: Gary S. Gunn, Esq. CASE INFORMATION Statements of Claim filed: on or about Octob

I Voiumc.,^^ Number. Year N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS • 1\ • . jqt^j In the Matter of the Arbitration Bet'^een Allen H. Grosnick, CLU, ChFC Claimant — and 89-02923 Andrr National Financial Services, Inc. Respondent C3«E SUfiMCr In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about October 19, 1989, Allen H. Grosnick, CLU, ChfC ( "Clainant") alleged that unpaid

"aine....9l. .Cl^-.;;ant;3 Steven K. ;-lauser, Tcnservat-cr r^r ^stat:^ :r :!=r-/ Trances '•^^aner : 9-0291" riame of PaspcnaenTii s s Shearson Lehman ironners.^inerican I;cpress ?obert Tayior ;aiiies Freeman •earn nerore: '•iiliam ohiciev ::-.aus'cr".' -^aurarx ".v-as rspreserxsa ~' :avid J . "voca, Tsq :i .-naerscn. icPhariir: • Connors. Respondents v^re r3presem:ed ty I-lichaei Giess, Zsq. Ksesai, '.'oimg & IjDgan This n

APR 20 R£CD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Pricie Brumni vs. Claimant McDonald & Co, Securities, Inc. Respondent AWARD #89-02881 Case Summary Claimant Pricie Brumm alleged that she placed an order to purchase options from Respondent McDonald & Company Securities, Inc. on January 26, 1988. Claimant alleged that Respondent confirmed the purchase of the options; and that she receive

NATIONALASSOCIATION CF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Timothy O'Connor : Case #89-02858 Claimant (AWARD vs. Gruntal & Company and Thomas Duffy Respondents CASE SUMMARY Claimant, Timothy O'Connor ("O'Connor") , alleged that Respondents, Gruntal & Company ("Gruntal") and Thomas Duffy ("Duffy"), made misrepresentations and omissions of material fact in connection with the sale of Commonwealth Savings Ass

9/0^/3^- N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen Name of Claitnant(s) Robert J. and Barbara J. Mrozak Artnen and Helen Markarian Consolidated 89-02920 and 89-02844 tfame of Rfistpndentfs^ Stuart James Conpany, Inc. Richard C. Whelan CASE SUMMARY In a Statenent of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about October 16, 1989,