N.A.fi.n. Arbitration National Ataoctatton of Securities DMtara, inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS 4 25 California St.. Rm. 1400 San Francisco. CA 94104 (415) 781-3343 In the Matter of the Arbitration Between FAX; (4 ' 5) 362 * 9948 Name of Claimant/si Monobind Inc. Employees Retirement Trust 89-03454 Dean Witter Reynolds, Inc. This case was filed with the National Association of Securities Dealers,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PaineWebber, Inc. Claimant(s) vs. 89-03443 Kyle E. Marburger Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) PaineWebber, Inc. alleged that Respondent(s) Kyle E. Marburger has not paid Claimant amount owed on debit balance. Respondent has not answered the claim. RELIEF REQUESTED Claimant(s) PaineWebber, Inc. requested da

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PaineWebber, Inc. Claimant(s) vs. Christopher Felch Respondent(s) NOTICE OF ARBITRATION AWARD 89-03442 CASE SUMMARY Claimant(s) PaineWebber, Inc. alleged that Respondent(s) Christopher Felch ordered the purchase of certain securities in his cash account. On July 6, 1989, the settlement date, Respondent requested additional shares be purchased

N.A.S.D, AWARD NMTCNfiL ASSOCUKTICK OF SECURITIES EEHJ3RS In the Matter of toe Arbitration Between of D.K. Seltsam 89-03434 Maotport Financial Group, Inc.,, Jerome S. Stain, RiJ >pft'L M. FenxBBn, Silveecro F. Vencziano, and Securitieo Settlaneat Cbxp. daioant, D. K. Sal team «•« rvpreaeDted by Jbaqpb P. » o£ Hsr^anstem, Socagfaan. r Sbockaabcz^f McKlbcLclc ft Gould of St. Louia, Miaaouri. Bespondent, Weatport Financial G

/V4SO N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of Securities Dealers, Inc. NASD Rnancial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between Hoffer Flow Controls, Inc. Pension and Profit Sharing Trusts vs Case * 89-03429 of its Shearson Lehman Mutton, Inc. J. Palmer Patten Any Shui Claimant, Hoffer Plow Controls, Inc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mearl E. and Susan A. Gibbs Claimant(s) vs. 89-03426 The Stuart-James Co., Inc. and Robb Bartlett Ivey Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Mearl E. and Susan A. Gibbs alleged that Respondent(s) The Stuart-James Co., Inc. and Robb Bartlett Ivey fraudulently misrepresented as to investment Claimants made through Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among Gloria Y. Chin Claimant * Case 89-03424 Award vs. R. F. Lafferty & Co., Inc. * Roy A. Foulke, Jr. Respondent * CASE SUMMARY Claimant, Gloria Y. Chin ("Claimant") alleged that Respondents R. F. Lafferty & Co., Inc. and Roy A. Foulke, Jr. ("Respondents") failed to handle Claimant's discretionary account in accordance with her stated investme

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant s Joan M. Brown 89-03423 of Lee E. Mikles In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about Decanter 6, 1989, Joan M. Brown {"Claimant") alleged that Lee E. Mikles ("Respondent") while employed at Drexel Burnhara Lambert, Inc. made unsuitable reconnendations and breached his fiduciary du

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Derek M. Gorg Claimant(s) vs. 89-03421 Dean Witter Reynolds, Inc. and David A. West Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Derek M. Gorg alleged that Respondent(s) Dean Witter Reynolds, Inc. and David A. West failed to transfer funds in a timely manner. Respondent(s) maintain that they were neither negligent nor

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Roseanne Riggs, Claimant v. Metropolitan Life Insurance Company, Respondent Case Number: 99-02937 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Roseanne Riggs: Joel E. Baruch, Esq. Law Offices of Joel E. Baruch, P.C. Irvine, California For Respondent Metropolitan Life Insurance Company: Arthur F. Silbergeld, Esq. Proskauer Rose LLP