NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Betvosn ) EDWARD and DIANA ANDERSON ) ) Claimant and ;CASE NO. 89-03473 ROBERT RACUSEN and SHEARSON LEHMAN HUTTON, INC. Respondents CASE SUWARY In a Statement of Claim filed with the NASD on or about December 5, 1989. Claimants Edmrd and Diana Anderson ("the Andersons') alleged that they purchased two col lateralized mortgage obligations (CMDs) for

NATIONAL ASSOCIATION OF SECURITIES DEALERS •*- In the Matter of the Arbitration Between Phyllis Shubak Claimant(s) vs. 89-03472 Richard Morris & Carlos Guavara Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Phyllis Shubak alleged that she was charged an early withdrawal fee and did not receive an income dividend on an investment purchased through Respondents. Claimant states that one respondent paid her an

N.A.S.D. AWARD NATIONAL ASSQCIATICM OF SECURITIES DEALRRg_^ In the Matter of the Arbitration Between Name of C!laimanti(s} Freddy Wong 89-03469 Shearson Lehman Hutton, Inc. Joseph J. Ulloa Fred Lee Heard before: Name Public/Industry Wayne E. Gallop, Esq Public/Chair__ Eugene Kramer Securities Ruth G. Lavell Public This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jay Nathan Claimant(s) vs. 89-03465 Alan Bush Brokerage Co., Carol Whelpley, J.W. Charles Bush and Michael A. Solomon Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Jay Nathan alleged that Respondent(s) Alan Bush Brokerage Co., Carol Whelpley, J.W. Charles Bush and Michael A. Solomon negligently mishandled Claimant's ac

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Solin/Solin Investments Claimant(s) vs 89-03463 RAF Financial Corporation and Securities U.S.A. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Solin/Solin Investments alleged that Respondent(s) RAF Financial Corporation and Securities U.S.A. failed to send them registration forms for "loyalty shares" for which they qualifie

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Charles E. Sayre, Jr. 89-03460 Name of Respondents 1 Dean Witter Reynolds, Inc. Daniel Skelton Eric C. Johnson Kelli M. Riley CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about December 12, 1989, Charles E. Sayre, Jr. alleged that Eric C. Johnson, Dean Witter Reynolds, Inc.

N.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Margaret H. Pierce ----------- . _ 89-03459 Shearson Lehman Hutton, Inc. In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about Decanter 12, 1989, Margaret H. Pierce ("Claimant") alleged that Shearson Lehman Hutton, Inc. ("Respondent") failed to execute an order to transfer and liquidate her account in a timely

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William B. Hoggard Claimant(s) vs. 89-03457 Marshall Davis, Inc. and Jim Richards Respondent(s} NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) William B. Hoggard alleged that Respondent(s) Marshall Davis, Inc. and Jim Richards did not execute Claimant's sell order. Respondent(s) did not answer. RELIEF REQUESTED Claimant (s) William B

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Quentin Mitchell, Claimant vs. First Republic Group, LLC. and Bear, Stearns Securities Corp., Respondents. Case Number: 99-02938 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimant, Quentin Mitchell, hereinafter referred to as "Claimant": Quentin Mitchell, Stanwood, Washington Respondent, First Republic Group, LLC.: Anthony R. La Grega, First Republic Group, LLC.,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Henry W. Kingsbery Claimant(s) vs. 89-03455 Fidelity Brokerage Services, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Henry W. Kingsbery alleged that Respondents) Fidelity Brokerage Services, Inc. mishandled a trade. Respondent maintains that they on all occasions followed Claimant's instructions. RELIEF REQUESTE