Region. Vnlnme . Number < ^ -. Year_rlD o . _ NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jerry M. Uyehara Claimant vs. Charles Schwab & Co., Inc. Respondent CASE SUhfMARY CASE NO. 88-99917 Claimant filed this claim on April 29, 1988 and alleged that Respondent failed to timely execute three index option orders resulting in a loss. Respondent denied the allegations and maintained that Claimant'

, « 2- Number^ Year.3D- NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Katherine B. Reed and Claimant A.G. Edwards & Sons, Inc. and Ernest 6. Martin Respondents AWARD 88f)9910 CASE SUMMARY Katherine B. Reed ("Claimant") alleged as follows: 1. Ernest G. Martin, Jr. ("Martin"), a registered representative of A.G. Edwards & Sons, Inc., (Ernest 6. Martin, Jr. and A.G. Edwards are collec

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Lillymar Velazquez Perez and Liadaliz Velazquez Perez Custodial Account, Adaris Perez Custodial Account, Iris L. Rivera Individual Account and Iris L. Rivera Ramirez Individual Account Names of the Respondents UBS PaineWebber, Inc., UBS PaineWebber Incorporated of Puerto Rico, Luis Fernandez, Arturo Colon and Angel M. Canabal

m 1 6 .fcu NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Peter J. Canton R. Doreen Canton vs. Merrill Lynch, Pierce, Fenner ^ Smith CASE #88-03952 AWARD Case Summary Claimants Peter and Doreen Canton (hereinafter the "Claimants") alleged that on Friday October 16, 1987 that Respondent Merrill Lynch, Pierce, Fenner and Smith Inc.'s (hereinafter the "Respondent") ^^inancial consultant or the

Arbitration National Association of Securities Dealers, Inc. 20th Floor 10 South LaSalle Street Chicago, IL 6060:3-1002 (312) 899-4440 ;^ir23, 1991 : (312) 236-9239 R« O - . • W. Woody Schlosser, Esq. A.G. Edwards & Sons, Inc. One North Jefferson Avenue St. Louis, MD 63103 Subject; NASD ArbitratiLon Number 88-03932 A.G. Edwards & Sons, Inc. v, Stuart Thorn Dear Mr. Schlosser: In accordance with the NASD Code of A2±iitration

Arbitration NRTICHAL ASSOCIKnCM CF SECURITIES EKUSS National AMoclatlcn cf Securities Oaal«n, Inc. NASD Financial Center 33 Whitefiall Slreet New YorK, New York 10004 In the Matter of the Arbitration Between Paul Roth, Individually arel as Tmstee for the Roth Profit Staring Trust VB tfemp of Rfyrpmripnta Shearscn Lehnen Hutton, Inc. Dennis Vbyne Cowden Case f 88-03865 ims claim ves filed with the National Association of Sec

N.A.S.D. AWAPD NATIONAL ASSOCIATIOI OF SECURITIES DEALERS In the Matter of the Arbitration Betveen Ijame of Clainwnt-s The Renaissance Ce^/eiopnent Group, Inc, Citadel Midwest Properties, Inc. Crescent tortgage Carnpany, Inc. Name of Resrx3ndQnt,s Merrill Lynch, Pierce, Fenner & Smith Dean Svigos 88-03799 In a claim filed with the National Association of Securities Dealers, Inc, ("NASD") on or about Deceniber 12, 1988, The Renaissance De^/

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Meivin W. Mills and Carrie A. Mills Claimant(s) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-03784 CASE SUHHARY Claimant(s) Meivin W. Mills and Carrie A. Mills alleged that Respondent (s) Merrill Lynch, Pierce-, Fenner & Smith, Inc. negligently mishandled Claimants' account held with Respondent.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Daniel M. Shaver Claimant(s) vs. Michael Walker & Shearson Lehman Hutton, Inc. Respondent(s) AWARD 88-03758 The Arbitrator, Justin S. Morrill Esq., having been sele to review and determine a matter in controversy between the at mentioned Claimant and Respondents, set forth in a submissic arbitration signed by the parties on December 1, 1988 and Febi

Volumc_^ Number^ Arbitration N.A.S.D. AWARD National Association of Securities Dealers, Inc. Suite 1680 NATIONAL ASSOCIATIC^ OF SECURITIES DEALERS Three First Nanon;,! Piaza Chicago, IL 60602 (312) 899-4440 In the Matter of the Arbitration Bet\^een Namp of Clainwntfs) Hutchinson Fox Inc. 88-03704 Name of Resi / NOV ? 'onn Prudential-Bache Securities Inc. / ^ -^'J and Robert A. Nold CASE SUMART In a Statement of Clai