NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jacques Mertens Claimant vs. Fidelity Investments Fidelity Distributors Corporation Respondents CASE #90-03284 ANARD CASE SUMMARY In a claim filed with the National Association of Securitie Dealers, Inc. on November 20, 1990, Claimant, Jacques Mertens, wh appeared Pro Se, alleged that Respondents Fidelity Investments an Fidelity Distributors

Arbitration •••':» N.A.S.D. AWARD NZOICNAL ASSOCIATICN OF SBCDRITIES DEALERS Hi tte Kattesc of tte Azbitration Between Name of Claimants Legg Mason Wbod Wlalker, Tnc. 90-03227 Mame of Respondent Alan W. SpeaoarBO., Ill National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street NewYork, N.Y. 10004 FAX (212) 858-4389 For Claimant: Dana Pesoosolido, Esq. of tte law firm of Fairbanks, G

N.A.S.D. AWARD NATICNAL ASSOCIATICN OF SECURITIES DEAUIB In tte Matter of tte Arbitration Between Jane Bezgquist Shearson Lehnnan Hutton, Inc. Marc B. Resnick 90-03219 For Claimant: Michael L. Paule, of Investors Azbitration Service For Respondent Resnick: Pzo per For Respondent Shearson Lehman Hutton: E. Scott Douglas and Gregory E. Copeland of Raeeal, Young and Lagan Stetement of Claim filed: November 14, 1990 Claimant's Submission Agz

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tte Matter of tte Arbitration Between Name of riainHnf,fs< Patricia P. Spengler vs. 90-03220 of Remondentrs^ Shearson Letean Brntters, Inc. For Claimant: Theodore A. Robb, Esq., Jon Sigezraan, Esq. and Reese Wegley, Esq., Sullivan, Rocte & Johnson, 333 Bush Street, 18th Floor, San Francisco, CA 94104 For Respondent: Robert E. Bleicher, Esq., Keesal, Young & l£igan, Four Ehbarca

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-03160 AWARD In Che Matter of Arbitration Between The Wall Street Discount Corp. Claimant vs. Steven Gordon Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 7, 1990, Claimant, The Wall s'treet Discount Corp. by and through their President, Alan Lederfeind, alleged that on October 2, 1990 Respondent Steven Gordon, a

CASE #90-03124 AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerald W. Braunstein Claimant vs. Morgan Keegan & Company, Inc. Brooks Monypenny Respondents Heard by: Marshall H. Lichtenstein, Esq. Industry Arbitrator Ann L. McKiiranon Industry Arbitrator Walter S. Hay Industry Arbitrator CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Nov

NJI.S.D. fSWD NKEIGNAL ASSQCZKEXGN CF SbLUHlTlES DEALERS In tte MBtter of tte Axiaitzation Bebman Glente G. Ginn, llecesa Ginn teecker, G. Lynn Andecaan and Handy F. Ginn and A.G. BhiBniB & Sons, Inc. 90< ^}^11 OAinsnts Glenda 6. Gim, G. Lynn Anderson, Hendy F. GLrni and A.G. Bdhauds & Sons, Inc. was mMiainntwl by Hllliam S. Port of A.G. B>mu.ds 6 Sons, Inc., St. Louis, MlBsan-i. In a Stabasent of Claim «i"^ with tte Mstlcnal AssQciatlan of S

.1.4m. .J. 1^. «%n«ftXUi/ ;u—ujU2^ inn»iiRfngw»«FTf«i tw paiHTiMi Daniel, 5«q. ^f Allborn, Calhoon, Harper* Prunisfci « cklhonn, iffcci of Little Rock, Arkansas. Rsspondent Hark -Stephsn Wiia^n was represented by Ben T. Barry, Esq. 'of Pryor, Berry, Smith, KaAer A Alford. of Ft. Smith, Arkansas. In a St&teB»nt: cf Claim filed «rith tha NatioRal Association of Securities Oealifrs, Inc. cmSD'} on or about October 29, 1990; Cleinants Beverly and C^thta

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: George G. Koustis (Claimant) v. Jeffrey S. Nathanson and Ladenburg Thalmann & Co., Inc. (Respondents) Case Number: 01-04998 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant George G. Koustis ("Koustis") hereinafter referred to as "Claimant": Joshua R. Cohen, Esq., Cohen Rosenthal & Kramer

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Holubowicz Enterprises c/o Eugene & Anne Holubowicz Claimants vs. Dain Bosworth (Milwaukee), Incorporation Respondent CASE* 90-02995 AWARD CASE SUMMARY Eugene and Anne Holubowicz on behalf of Holubowicz Enterprises, in a claim filed with the National Association of Securities Dealers, Inc. on October 24, 1990, alleged that their agent at the