:;.A.S.D. AWARD :iATIONAL ASSOCIATION OF SECURITIES DEALERS In. the Matter of the Arbitration Between Florence and William Seegmiiier 90-01066 Name of n Shearson Lehman Hutton, inc. Stanely E. Collins Claimants were represented by Gary Anderson, Esq.. Respondents were represented by Randall Skanchy, Esq. This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on April 12, 199

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Estle Rains ) Claimant ) ) ADDENDUM AWARD vs. ) ) NASD *90-01060 Dain Bosworth, Inc. ) Jessica Pavish ) Maureen McCallum ) Respondents ) REPRESENTATION Claimant(s) represented herself and respondent(s) were represented by Mary C. Eklund, Esq. of the firm-of Bittner & Barker. SUMMARY OF ISSUES Claimant alleged Respondents Dain B

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Janssen/Meyers Associates, L.P., (Claimant) vs. Ju Ha Lee, (Respondent) Case Number: 99-03439 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Janssen/Meyers Associates, L.P., hereinafter referred to as "Claimant": Joseph N. Paykin, Esq., Raice Paykin Krieg & Schrader, LLP, New York, NY. Previously represented by: Barry R. Lax, Esq., Goldstein & DiGioa, LLP,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Joanne Lake, Individually and as Trustee for -he Joanne Lake Trust Claimant vs. Dean Witter Reynolds, Inc. Albert T. Barr Larry M. Phillips Respondents AWARD NASD #90-00997 REPHKSBHTATIpli Claimant was represented by Jeff Dennis Ferentz, Esq., Greenbaum and Ferentz, Newport Beach, California. Respondents were represented by Donald C.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rezso L. Molnar Claimant(s) vs. 90-00725 Quick & Reilly, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Rezso L. Molnar alleged that Respondent(s) Quick & Reilly, Inc. failed to notify him of a tender offer opportunity. Respondent(s) maintain that Claimant is a sophisticated investor and that information about the take

N.A.S.D. AWARD 'NATIONAL ASSOCIATION OF SECURITIES DEAIJSRS In the Matter of the Arbitration Between of Claimant/a 1 B. & Frances C. Wbodhouse 90-00698 6 Company, Inc. For Claimant: Jaees R. Duncan, Esq. For Respondent* Harry T. Walters, Eaq. Statement of Claim filed* March 8, 1990 Claimants' Submission Agreement signed on: March 6, 1989 Statement of Answer filed by Respondents, ens May 31, 1990 Hearing Date (B)/Sessions: April 9, 1991,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arnitration Between j Valhalla Associates ; Claimant > ) AWARD vs. } ) NASD 490-00675 Luciano Serpe } Monmouth Investments ) Securities Settlement Corporation ) Respondents } ) REPRESENTATION Claimant was represented by M. Paul Weinstein, general partner of Valhalla Associates. Luciano Serpe represented himself; Securities Settlement was represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NAME OF CLAIMANTS James S. Kaufman, M.D., individually and as Trustee for the James S. Kaufman, M.D., Inc. Profit Sharing Plan, the James S. Kaufman, M.D., Inc. Pension Plan and the James S. Kaufman, M.D. Defined Benefits Pension Plans Case # and 90-00654 Joanne K. Kaufman and Urban Reports Corp., d/b/a - Joanne K. Kaufman Travel and

:i.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donald B. Curchod 90-00593 Name of Respondent(s\ Prudential-Bache Securities Inc. Claimant was represented by James Pooley, Ssq. of Graham i James. Respondent was represented by Terry Ross, Esq. of Keesal, Young and Logan. This matter was initiated by a Statement ?t Claim filed with the Rational Association or Securities Dealers, Inc. 'NASD") on F

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard Wayne and Virginia Sue Newberry vs. Claimant(s) Blinder, Robinson & Co., Inc. and Victor Strevel Respondent(s) NOTICE OF ARBITRATION AWARD 90-00538 CASE SUMMARY Claimant(s) Richard Wayne and Virginia Sue Newberry alleged that Respondents) Blinder, Robinson & Co., Inc. and Victor Strevel made unsuitable recommendations, engaged in m