N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of riaimant(s) Etta Fleming and T.lnria Olson 90-02923 Nane^fLBespondent ( s > IDS Financial Services, Inc. Jerocne W. Vinger PARTIES Claimants Etta Fleming and i.inri* olson were represented by Gregory L. Wilmes and Mark J. Briol of Briol & Wilmes, Minneapolis, Minnesota. Respondents IDS Financial Services, Inc. and Jerome W. Vinger w

:i.A. = .D. AWARD NATIONAL ASSOCIATION OF SECURITIES IEALEFS In cne Matter of the ArDitrat^-r. Between ?4arne nf Claimant"./ s i Robert Miller 90-02892 Shearson Lehman Hutton, Inc. Tom Banks Ronald Shores Claimant Robert Miller was represented by Mr. Duke Bushong. Respondents Shearson Lehman Hutton, Inc. et ai. were representea by Mr. Michael C. Licosati, Esq. This matter was initiated by a Statement of National Association of Securi

N.A.S.D. AWARD < f- :1ATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Janes L. ana fay Rae Eagar 90-02883 Ttoluca Pacific Securities Corporation Richard Clark For Claimant: Edwin F. Guyon, Esq. For Respondent? Sheldon M. Jaffee, Esq. Statement of Claim filed: October 16, 1990 Claimant's Submission Agreement signed on: October 11, 1990 Statement of Answer filed by Respondents, on: March 1, 1991 Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant-. John N. woods 90-02882 flame of Respondents Cbrna & Co., Inc. Dan Eickholt For Claimant John N. Woods ("Claimant"): Claimant represented himself. For Respondent Corna & Co., Inc. ("Corna"): Corna did not have a representative at the hearing and decided to rest on the papers. For Respondent Dan Eickholt ("Eickholt"): Eickh

N.A.S.D. AWARD NOTIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Benton 90-02881 lteco'de Prudential-Bache Securities Inc. Smith Barney Harris Upturn & Co. , Inc. Franklin H. Borrovman For Claimant: Herbert M. Barish, Esq. - Basich & Barish For Itesponctout: Linda R. Alpert, Esq. - Smith, Barney Statement of Claim filed: October 16, 1990 Claimant's Submission Agreement signed on: October 8, 1990 Join

N.A.S.D. AWARD NRTICNRL Afisocianoi OF SECURITIES DEALERS In the Matter of the Arbitraricn Between Hugh B. Hobertscn Claimant NASD #90-02878 Sbeaxsoa Leamn Batten, Inc. Al La-very Respondents Claimant: H. TJxoas Febn, Esq. - Fields, Febn & Shexwin For Respondent: T.< r>ri» Yarden, Esq. - Sbearson Lehmn Brothers, Inc. Statement of Halm filed: Hbvenber 16, 1990 daiuBnt's Subctissica AgreeocDt siloed cat Octcbez* LI, 1990 Joint Statanent

HATIOHAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert T. Gelber Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Thomas E. Gilroy and Jeffrey G. Heimstadt Respondents ) ) ) ) AWARD ) NASD NO. 90-02856 ) ) REPRESENTATION Claimant was represented by Arthur F. Dicker, Esq. of the firm Dicker & Anderson and Respondents were represented by Michael J. Abbott, Esq. o

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John Rodittis, Individually ana as Beneficiary of JTNR Engineering, Inc. Profit Sharing Plan Helen Rodittis Claimants AWARD vs. j ; NASD ?90-02804 Stuart-James Company, Inc. Brian L. Gibbons Respondents , REPRESENTATION Claimants were represented by Michael S. Freidman, Esq., Pasadena, California. Respondent Stuart-James Company, Inc

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Howard M. Mott Louise V. Mott Case No. 99-03459 Names of Respondents Josephthal & Co., Inc. f/k/a Josephthal Lyon & Ross, Inc. Peter Armstrong REPRESENTATION OF PARTIES For Howard M. Mott and Louise V. Mott, hereinafter referred to as "Claimants": Stephen D. Spivey, Esq. of the law firm of Stephen D. Spivey, P.A., Ocala, Florida

N.A.S.D. AWARD •f- MAITCKAL ASSOCIATION OF SBCQRITIES DEALERS In the Matter of the Arbitration, Between. t'arris vs. 90-02752 Ccnpany For Claimant: Vlnce DiCarlo, Esq., Bartel, Bug, Miller & Ttongrea, 300 Capitol Mall, Suite 1100, Sacramento, CA. 95814 For BMpcodaat: David M. Greenberg, Esq., Cfce Eobarcadero Center, Suite 880, San Francisco, CA 94111 Statement of Hnlm filed: October 3, 1390 dainant's p»*r^MrJ r r > Agxpe