NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. !n the Matter of the Arbitration Between Merrill Lynch, Pierce, Fenner & Smith, Inc., CIaimant 0^7 vs. Jeffrey and Joan Aronson, Respondents Case #88-02404 Award On April 25, 1989 and May 17, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant, Merrill Lynch, Pierce, Fenner and Smith, Inc., on July 14, 1988

Region ^_ /V Volume ^ _^ Nui-nber ^ Year^Q NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PaineWebber Inc. Claimant and CounterRespondent vs. Paul T. McClure Respondent and CounterClaimant CASE NO. 88-02379 SIWIARY OF ISSUES Claimant filed this claim with the NASD on July 26, 1988 against Respondent to recover moni es due and owi ng pursuant to an executed promi ssory note. CI aimant al 1

Vol. Z No. 2J iear "jo NAfilOHAL ASSOCIATIOH OF SECDRITIES DEALERS. IHC. In the Matt.er of the Arbitration Bet we en BERL ROTFELD, Claimant, and J. BARRY MEICNEAL BOEHNING & SCATTERGOOD, INC. Respondent(s) Case 4 88-02371 CASE SDMMARY In a claim filed ulth the National Association of Securities Dealers, Inc. on July 26, 1988, Clainant, Berl Rotfeld, alleges that Respondents, J. Barry MacNeal and Boennlng & Scattergo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between- T. ROWE PRICE INVESTMENT SERVICES, INC. ) KERRY 0. SHOWALTER Claimant ) NASD NO. 88-02343 V. ) ) Respondent ) ) SU^'HAR^ OF THE CASE T. Rowe Price Investment Services, Inc. ("Claimant") alleges that Kerry 0. Showalter ("Respondent") , as a result of transactions effected in his account, owes to the Claimant the sum of $1,902.63. Respondent den

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) DONALD GRENDAHL, MARK GRENDAHL, 1 THOMAS LEMORANDE, CON YAGODZINSKI, aVDE TRUDEAU, RAY FORMANEK, VIRGINIA RIUTTA, RUSSELL AND FLORENCE GRENDAHL, BETTY HANSON, PHILLIP AND DEBRA GRENDAHL SANDI GOETZE, KEITH OLSON Claimants and CONSaiDATED CASE NOS. 90-00495, 90r0fi&72. 90-00673, 90-00674, JJOZHH!] 88-02472, 88-02473, 88-02469, 88-02475, 8

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Region L A _X Volume 2r ^ Number ^ Year^ In the Matter of the Arbitration Between Kathleen Mary O'Brien Claimant vs. Sears Roebuck; Respondents Dean Witter Financial Services; Dean Witter Reynolds, Inc.; Douglas M. McCombs; Larry M. Phillips; Robert C. Honey; Jerry Boerner, and Jolyn Gissell, CASE NO. 88-02339 s\mm OF ISSUES Claimant filed this claim with the NASD

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

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

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

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of frp Claimants rgspNnmhpi" 02-04422 Carla J. Lopez; Joseph C. Miles; Donald J. Kreft, Jr.; and, John Boggan il£' Dallas, Texas Merrill Lynch, Pierce, Fermer & Smith, Inc.; and, Donald C. Korkow NATTTPF 01? TVngPTTTF Public Customers v. Member Firm and Associated Person RFPRFSFNTATTOT Claimants Carla J. Lopez ("Lopez"); Joseph C. Miles ("Miles"); Donald J.