ggginn C ^ J 9()lX0i Volume....^ Nooibtf, Yf N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Otto Grenton-Spectrum^ Inc. Retirement Tiust 89-02519 Lawrence P. Caplan Otto GrentOTi &B Trustee for Otto Grenton-Spectnjm, Inc. Retirement Trust ("Claimant") alleged that Lawrence P. Caplan ("Respondent") made material misrepresentations and ordssionB regarding Alleghar/ Intemat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration 8etv.»=n NamR of Claimantfs^ Williaxn and Peter Nestos, Tenants 89-02514 Name of Respondent/si Pershing Div of D.L.J. Birkelbach Investment Securities Carl Birkelbach In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about September 8, 1989 Claimants Wlm and Peter Nestos ("Claimants") opened a securities accoun

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia Miller and Patricia Miller IRRA, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 02-04478 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES For Claimants: Robert S. Banks, Jr., Esq. Banks Law Office, P.C. Portland, Oregon For Respondent: Thomas C. Sand, Esq. Jennifer J. Roof, Esq. Miller Nash, LLP Portland, Oregon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SEXmtTIES DEALERS In the Matter of the Arbitration Betvreen Natjne of Claimantfs) Dean Witter Reynolds, Inc. 89-02500 Name of Re3Pondent(3) William Johnson Region >t?..^ ^ Number. In a statanent claim filed with the NASD on or about September 7, 1989, Claiirant Dean Witter Reynolds, Inc. ("Dean Witter") alleged that Resporxlent William Johnson ("Johnson") was employed by Dean Witter as an account

NASO N.A.S.D. AHARD MATICNAL ASSOC:A:riON OF SEaTCCTIES DEALERS In the Matter of tha Arbitration Between Edward Modzelewski vs. First Jersey Securities, Inc Sherwod Securities Corp. Sher^rod Group Inc. Shervcod Capital J.T. >fcjran and Co., Inc. J.T. .Moran Financial Corp. William Mecca Gregory Haaho Robert Skoff John E. Dell Ajit Hutheesing Charles J. Sheils Richard Marino Dennis Marino storay Seitman J

NASO N.A.S.D. AHARD MATICNAL ASSOC:A:riON OF SEaTCCTIES DEALERS In the Matter of the Arbitration Between Edward Modzelewski vs. First Jersey Securities, Inc Sherwood Securities Corp. Sher^rod Group Inc. Shervcod Capital J.T. >fcjran and Co., Inc. J.T. .Moran Financial Corp. William Mecca Gregory Haaho Robert skoff John E. Dell A jit Hutheeeing Charles J. Sheils Richard Marino Dennis Marino storay Seitman

/Ui.J''i u "; NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Shearson Lehman Hutton, Inc. vs. Wiliam F. Goring Claimant Respondent AWARD NASD NO. 89-02470 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on September 6, 1989- Claimant alleged failure to pay a debit balance by respondent. Respondent denied the substantive allegations of

Region, Volume^i^ Number. ,..'0CO N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betv^n Name of ClaiJTantfs) Dean Witter Reynolds, Inc. 89-02459 Name of Respondent's) Loren Page In a claim filed with the J^^D on or about September 1, 1989, Dean Witter Reynolds, Inc. ("Claimant") alleged that Loren Page ("Respondent") executed a promissory note ("Note ) payable to Clainant which provided that

N.A.S.D. AWARD In tlie Jfetter of t±»e Aibitraticn Between Name of CTainianta Gardner Financial Services, Inc., Larry Bumgardner Namp of Respondent Of f exnan & CcDpany In the ^tter of the Aibitration Between 89-02448 consolidated with 89-02784 89-02784 consolidated with 89-02448 Name of Clainant Offezman & Gcnpany, Inc. Namp of Respondents Gardner Financial Services, Inc. larry Bumgardner For daimants Gardner Financial

N.A.S.D. ANARD NATIONAL ASSOCIATICN OF SBCURITIES DEALERS In the JVfifer of the Arbitration Betvreen Name of rlaimantJa^ Valmond L. Iftiderwood r t : frC? [ .i>ft9^2434 Name nf Respondent/s^ Dean "WHter Reynolds, Inc. John W. Shankles In a Statarent of Claim filed with the National Association of Sacxxities DealeiS, Inc. ("NASD") on y^igat 29, 1989, Claimant Valmond L. Underwood alleged 4iat Respondents Dean Witter Reynolds, Inc. and John