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

NATIONAL ASSCCriATION OF SECURITIES DEALERS, :»JC. In the Matter of the Arbitr^ation Between THOMAS E. AND JEAN W. FORi:~TER C' = - iinants V . TUCKER. ANTHONY & R. L. DA' AND BOBBY KREGER INC. Resi^tiondents CASE NO. So-00630 AWARE On Friday, April 14. in New Orleans, Louisiana, arbi trators heard the ccCTtroversy between the parties submissions to arbitration signed on Marrh d 1988 by CT.aimants and Jean W. Forister, on june 7, 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Roney & Oo. Claimants and ) A W A R D 88-00828 Jack A. and Dorothy Benjamin ) Respondents On Wednesday, January 25, 1989, Thursday, January 26, 198' Wednesday, May 3, 1989 and Thursday, May 4, 1989 m Southfiel Michigan, the undersigned arbitrators heard the controver' between the parties as set forth in submissions to arbitrati' signed on March 10, 19

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between EDWIN L. BRODY vs. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. BEDE HOWARD, JR. Claimant Respondents Case #88-00792 Award On March 8th, 1989 and April 13th, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant, Edwin L. Brody on March 15th, 1988, and by Respondents,

NATIONAL ASSOCIATION OF SECURITIES DE.;-_£RS, INC. In the Matter of the - arbitration Between WEDBUSH SECURITIES, TS: :. and CALVIN HEISLER riaimant(s) Respondent(s) CASE M. 88-00753 On June 8, 198° in Denver, Colorado, the .-ndersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed or March 3, 1988 by Marie E:_ . Eaton on behalf of Claimant, on June 7, 12988 by Respondent, Calvin Heiri'

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between A. G. Edwards & Sons, Inc. Claimant and Tom Bryan Respondent CASE NO. 88-00735 V,- CASE SUfflARY In a Claim filed on or about March 7, 1988, the Claimant alleged that Respondent Tom Bryan engaged in the transactions in index options which resulted in a debit balance in his account, which he has refused to repay. The Respondent did not answer

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants - • • ( Jaey L. Sedlacek, Trustee and Participant and Brenda L. Sedlacek, Trustee and Participant of J.L. Sedlacek Incorporated Profit Sharing Plan • i and 02-03852 Omaha,, Nebraska Name of Respondents Salomon Smith Barney Inc. Joseph R. Watton REPRESENTATION OF PARTIES f Jaey L. Sedlacek, Trustee and Participant and Brenda L. Sedlacek, T

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward M. Shaiman Claimant(s) vs . Bateman Eichler, Hill Richards, Inc. and William Notricia Respondent(s) AWARD 88-00704 The Arbitrator, Prudence W. Baldwin, Esq., having been selected to review and determine a matter in controversy between the above-mentioned Claimant and -Respondents, set forth in a submission to arbitration signed by the parties

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the ,-»'^b-.tration Between Joseph and Arlene Burruano Claimants vs. Thomson McKinnon Securities, Inc. James E. Taylor Respondents In the Matter of the Arbitration Between Samuel and Grace Burruano AWARD #88-00630 Claimants vs. Thomson McKinnon Securities, Inc. James E. Taylor Respondents #88-01622 (Consolidated cases) Case Summary Claimants Joseph

NATIONAL, ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Herb G. Diamond Claimant(s) vs . Shearson Lehman Brothers and Anne P. Kaspar Respondent(s) AWARD 88-00579 The Arbitrator, PrudenceW. Baldwin, Esq. having been selected to review and .determine a matter' in controversy between the above- mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on February 18, 198