NATIONAL ASSOCIATION OF SECURITIES DEALERS' IKC Region M Y C Volume ^ , Number^ ^00 C 7 In the Matter of the Arbitration Between Michael Perle, Jane Bottone, Michael Bottone, Marsia Bottone, Anna Bottone Trust and Michael Bottone, Jr. vs. John A. Radii Claimants Respondent CASE # 89-00158 89-00962 89-00968 89-01012 AWARD CASE Michael and Jane Bottone allege they gave John A. Radii $66,008.15 for safe investm

NATIONAL ASSOCIATION OF SECURITIES DEALERS' IKC Region M Y C Volume ^ , Number^ ^00 C 7 In the Matter of the Arbitration Between Michael Perle, Jane Bottone, Michael Bottone, Marsia Bottone, Anna Bottone Trust and Michael Bottone, Jr. vs. John A. Radii Claimants Respondent CASE # 89-00158 89-00962 89-00968 89-01012 AWARD CASE Michael and Jane Bottone allege they gave John A. Radii $66,008.15 for safe investm

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Michael Perle, Jane Bottone, Michael Bottone, Marsia Bottone, Anna Bottone Trust and Michael Bottone, Jr. vs. John A. Radii CIaimants Respondent CASE # 89-00158 89-00968 89-01012 AWARD CASE SUMMARY Michael and Jane Bottone allege they gave John A. Radii $66,008.15 for safe investment and that unsuitable transactions were made. Respondent J

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In t'.-.e ;l=c*:°r of the Arbitration Between •jj.N'- Dorland, Claimant, ompany and • ^ 1 Respondent s Case #89-C>0952 Award ?ard br'cre the members of the Arbitration Panel: ".er-ar.'ie r T1 tman , Esq . zx - \ 1 . Clark 1. ?.^5i",=Wagner CASE SUMMARY Z'i' claim was filed with the NASD, Inc. March 31, 1989. The hearing iuc-.ed in Fort Lauderdale, Florida on May 1, 1990, wit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of r laimant. ( g | Carl W. Martin Jack Alexander 89-00926 Name of Respondent. ( s | PaineWebber, Inc. David Stanger Alan Goldman Victor L. VandenOever REPRESENTATION For Claimant: Cecil S. Mathis, Esq., Dallas, Texas. For Respondents PaineWebber and David Stanger: Brian J. Hurst, Esq., of Jenkins & Gilchrist, Dallas, Texas

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph J. Grenier Claimant(s) vs . Ken Nightengale and Wall Street Clearing Co. Respondent(s) NOTICE OF ARBITRATION AWARD 89-00925 CASE SUMMARY Claimant(s) Joseph J. Grenier alleged that Respondent(s) Ken Nightengale and Wall Street Clearing Co. failed to execute a trade. Respondent Kenneth Nightengale maintains that he wrote up sell tickets

PAGE 2 Case ^-sg-oogia AWARD The undersigned arbitrator decided the controversy between the parties as set forth in submissions to arbitration signed by Claimant Davis D. Hwu on March 23, 1989, Respondent Power Securities, Inc. did not execute a submission agreement nor did it submit an answer Pursuant to Section 12(a) of the National Association of Securities Dealers, Inc. Code of Arbitration Procedure, the presiding arbitrator exercised its ju

'100 VoC^ NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Charles and Carol Cicala Claimants vs. Power Securities, Inc. and Charles LaRocco Respondents Region P ^ ^ Volume 2^ • Number .Co Year 90 Case #89-00961 Award CASE SUfflARY Claimants Charles and Carol Cicala asserted originally named Respondent Charles LaRocco made misrepresentations concerning stock transactions

NOTICE: An award was rendered in this case, but is not available.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles J. Whalen and Lorraine A. Whalen (Claimants) v. Northwestern Mutual Investment Services, L.L.C. and David P. Vanderzee (Respondents) Case Number: 02-04467 Hearing Site: Albany, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Charles J. Whalen ("C. Whalen") and Lorraine A. Whalen ("L. Whalen") hereinafter col