Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between:, Rose Mary Johnson, Claimant vs. Dean Witter Reynolds Inc., Respondent. Case Number: 99-02936 Hearing Site: Via Conference Call REPRESENTATION QE PARTIES Claimant, Rose Mary Johnson, hereinafter referred to as "Claimant": Rose Mary Johnson, Fairbanks, Alaska Respondent, Dean Witter Reynolds Inc. ("Dean Witter"), hereinafter referred to as "Respondent": Paul D. Allen, Esq.,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Betweenx x Maria Panaro x Claimant x x CASE NO. vs. x 89-03376 X Dominick & Dominick, Inc. x ORDER Respondent x x On March 5, 1991, the undersigned arbitrators convened to hear the controversy between the parties as set forth in submissions to arbitration signed by the Claimant Maria Panaro on November 30, 1989, and by Respondent Dominick & Dominick

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Barry Mott Claimant(s) vs. 89-03374 Ken Ashe Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Barry Mott alleged that Respondent(s) Ken Ashe churned Claimant's account. Respondent denies Claimant's allegations. RELIEF REQUESTED Claimant(s) Barry Mott requested damages of One Thousand Six Hundred Fifty Dollars and No Cents

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony Fieldhouse Clairaant(s) vs. 89-03370 Fidelity Brokerage and Philadelphia Options Exchange Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Anthony Fieldhouse alleged that Respondent(s) Fidelity Brokerage and Philadelphia Options Exchange deprived Claimant of a fair premium. Respondent Fidelity Brokerage Services, Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS "*• In the Matter of the Arbitration Between Lary Stuart Mahoney Claimant(s) vs. 89-03366 K. Brett Thackston and Wheat First Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY tf Claimant (s) Lary Stuart Mahoney alleged that Respondent (s ) K. Brett Thackston and Wheat First Securities, Inc. made misrepresentations. Respondent Wheat First Securities, Inc. mai

N.A.S.D. AWARD NOTIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas Reams Case f 89-03359 vs Award Bfiapsnrifln*r ( s V Gruntal & Co., Inc. Russell Siegel (Third-Party Claimant) vs. Saul Federman (Third-Pary Respondent) Claimant alleges that ha placed an order with Russell Siegel, the registered representative with Gruntal & Co. to purchase OEX puts and that he failed to execute the order. Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sheafen Frank Kuo Tina C. Kuo Claimants vs. Security -Pacific Brokers, Inc. Respondent Heard before: CASEf 89-03358 Martin Fogelman, Esq. ... Public Arbitrator Henry H. Baiter Public Arbitrator Joseph E. DaGrosa Industry Arbitrator CASK SUMMART Claimants alleged Respondents mishandled certain LTV Corp. transactions and secretly created a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jack H. Schonzeit and Judith Secular, TTEES Claimant(s) vs. Bear, Stearns & Co./ Inc. vs. Sloate, Weisman, Murray & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03351 CASE SUMMARY Claimant(s) Jack H. Schonzeit and Judith Secular, TTEES alleged, that Respondent(s) Bear, Stearns & Co., Inc. was negligent in informing her th

Arbitration National Association of Securities Dealers, Inc. Suite 1680 Three First National Plaza Chicago, IL 606C2 (312) 899-4440 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between" Matne nf D Si S Investment Co., a partnership between Richard D. Slonkowaki and Raymond Dykema 89-03347 Shearson Lehman Button, Inc. John F. Noonan In it's Statement of Claim, received by t

ffL NKEIQNMi ASSCdXnCN ( In the Matter of the Nans of RenpondBi K.W. Brown & Co., K *aT UMM^^^M YW^B^B.^4 .w. Brown invest Wendy Brown N.A.S.D. AWARD •y SEUURlTnS LlALEkS Arbitration Between ) > t(s) ) " ) ) ) ) ) it (a) ) HEc. d/b/a ) tnsnts ) ) ) ) ) Arbitration National Association of SscurltiM (testers. Inc. Ona East Broward Boulevard Suits 1000 R