N.A.S.D. AWARD MOTIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Mapte of Claimant. (s\ Elizabeth J. Kizer 89-03270 Resonden Newhard Cook & Co., inc. Jerome Stein Westport Financial Group, Inc. In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about November 21, 1989, Claimant Elizabeth J. Kizer ("Kizer") alleged that Respondents Jerons S. Stein ("Stein"), Newhard,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betareen Name of John & Bonnie Hall 89-03269 Dean Witter Reynolds, Inc. Rodney C. Gott In a statement of claim filed with the NASD on or about November 21, 1989, Claimants John E. and Bonnie J. Hall ("the Halls") alleged that they were unsophisticated investors who had little experience or knowledge regarding the risks inherent in investing in securiti

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerald C, Heyes Claimant vs. Russo Securities, Inc. Dillon Securities, Inc. Respondents AWARD #89-03266 Case Summary Claimant alleged that Respondents failed to exercise due diligence in selling and trading shares of Healthcare Credit Corporation stock when no such corporation existed. Respondent Oil Ion Securities, Inc. maintained that they did n

Stipulated A\vard NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: GEORGE B. SCHOENROCK, n, individually (as beneficiary and Successor Co-Truslee of the Mary V. Schoenrock Living Trust Agreement Dated November 7, 1994) And as Next Friend and Natural Guardian of BERNARD ANTHONY SCHOENROCK (beneficiary of the Mary V. Schoenrock Living Trust Agreement Dated November 7, 1994), Claimant v. Salomon Smith Barney, Inc., Murray Levine, Mitchel

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the. Matter of the Arbitration Between Martin and Shirley Manson Claimant(s) vs. 89-03259 Prudential-Bache Securities, Inc. and Mark Wuensch Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Martin and Shirley Manson alleged that Respondent(s) Prudential-Bache Securities and Mark Wuensch made unauthorized trades and misrepresentations. Respondent(s) maintain that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cameron J. Syfce 89-03258 of Iteapondent s FinNet Securities, Inc. David F. Lutz Cameron J. Syke ("Claimant") alleged that David F. Lutz, a registered representative with FinNet Securities, Inc. (Lutz and FinNet are collectively referred to herein to as "Respondents") made material misrepresentations and emissions of fact in connection with the

N.A.S.D. AWARD r- NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Scher Defined Benefit Pension Plan 89-03253 of Respondgn't is} Advest, Inc. CASE SUMMARY Claijnant alleged that the Respondent, who maintained and managed an account for the Pension Plan, acted negligently and recklessly in violation of its fiduciary duties by engaging in high risk call option purchases and transactions that were unsuita

NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Willis H. and Judy Waldo Claimant(a) vs. 89-03248 Dean Witter Reynolds, Inc. and Harvey S. Stober Respondent(s) •ones OF ARBITRATION AWARD CASE SUMMARY Claimants) Willis H. and Judy Waldo alleged that Respondents) Dean Witter Reynolds, Inc. and Harvey S. Stober engaged in fraud and misrepresentation in connection with the purchase of stock.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mark J. Chambers Claimant(s) vs. 89-3246 Wall Street Clearing Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Mark J. Chambers alleged that Respondent (s) Wall Street Clearing Co. cleared a trade that was unauthorized by the Claimant and are now demanding payment. Respondent (s) maintain that they did nothing more than

N.A.S.D. AWARL) NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Catherine L. Hasbrouck 89-03244 Name nf Ttegpyvtem- ( s | A.G. Edwards & Sons, Inc. CASE SUMMARY In a claim filed with the NASD on or about November 20, 1989, Catherine L. Hasbrouck ("Claimant") alleged that A.G. Edwards and Sons, Inc. ("Respondent") misrepresented material facts in connection with bonds recommended to Claimant and purchased f