NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Estate of William B. Gordon, Stuart Gordon, and Malcolm Gordon executors and Malcolm 3. Gordon Claimant(s) vs. 89-03213 Shearson Lehman Button, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Estate of William B. Gordon, Stuart Gordon, and Malcolm Gordon executors and Malcolm B. Gordon alleged that Respondent(s)

Arbitration riATICNAL .-SSOCIATION OF SECURITIES DE In tne Matter of the Arbitration Hecween o National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 James & Joann Chamberlain vs. of Respondents Case # 89-03212 Award Sherwood Capital, Inc. Mark Malone Carl Sorano SUHOHT This claim was filed on Novencsr 16, 1989. Claimants, James and Joann Chamber

NATIONAL ASSOCTATTON~OF SECURITIES DEALERS^TMT. In the Matter of the Arbitration Between John Prince Claimant vs. Monmouth Investments, Inc. John Freeman David Haber Steve Hersh Ann Trenton Larry Zuliani Ed Ransom Respondents AWARD Case tB9-03207 CASE SUMMARY Claimant asserts that he purchased stock of Corporate Capital Resources on the basis of misinformation, and without ever receiving a prospectus. Further he a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cynthia J. Evans Claimant(s) NOTICE OP ARBITRATION vs. AWARD 89-03201 Allied Capital Group Respondent(s) CASE SUMMARY Claimant(s) Cynthia J. Evans alleged that Respondent(s) Allied Capital Group executed an unauthorized purchase in Claimant's account. Respondent(s) denied the allegations of Claimant and demanded strict proof that the sell order in que

NATIONAL ASSOCIATION OF SECURITIES DEALERS . 7 In the Matter of the Arbitration Between Leon A. Illerbrun Clairaant(s) vs. Larry R. Johnson and R.B. Marich, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03200 CASE SUMMARY Claimant(s) Leon A. Illerbrun alleged that Respondent(s) Larry R. Johnson and R.B. Marich, Inc. negligently and fraudulently mishandled Claimant's account held with Respondent. Respondent(s) deny Cla

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-02925 Frances O. Drummond and Patricia M. Drummond, claimants vs. Charles Schwab & Co. and Wendi Cowdrey-Sellar, respondents. ATTORNEYS: Claimants appeared Pro Se., Palm Springs, CA. For Respondents Charles Schwab & Co. and Wendi Cowdrey-Sellar appeared Amir Tadjedin, Esq., in-house counsel for Charles Schwab & Co., San Fransisco, CA. DATE FILED: June 28, 1999 CASE SUMMARY: Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gabor Dobai Claimant(s) vs. 89-03199 Quick & Reilly, Inc. Respondents) NOTICE OF ARBITRATION AWARD CASE SUMMARY Clairaant(s) Gabor Dobai alleged that Respondent(s) Quick & Reilly, Inc. failed to properly execute Claimant's sell orders. Respondent maintains that the orders were entered as they were received at good prices on the prevailing mark

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Greg and Deborah Hill JTTEN Claimant(s) vs. 89-03198 First Allianca Securities, Inc., William F. Lincoln and Dawn Dailey Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(a) Greg and Deborah Hill JTTEN alleged that Respondent(s) First Alliance Securities, Inc., William F. Lincoln and Dawn Dailey misrepresented material facts as t

Arbitration < 0 N.A.S.D. AWARD National Association of Securities Dsslsrs, Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS ° w &« Broward Boulevard Suite 1000 -= r ; -i—r -r-. : = Ft- Uuderdate, Rorida 33301 In the Matter of the Arbitration Between ) (305) 522-7391 Name of Claimant. 13) ) David & Barbara Oliver ) ) Case No. 89-03197 Name of Respondent^) } Merrill Lynch, Pierce, Fenner ) and Smith Inc. ) and Thomas Greenbaum )

N.A.S.D. ANARD. NATIONAL ASSOCIATION OF SECURITIES DEALERS Tn the Matter of the Arbitration Between Name Of Harold, Daniel and Prisci Eidet 89-03195 Name of Respondent ( s ) Allied Capital Group, Inc. Bill Hire RAF Financial Corporation RFC Clearing and Paying Agent Robert Fitzner Richard Spath Edward Fay Peter Mercaldi (TP PAW IKS Claimant Daniel Eidet, appeared on his own behalf and on the behalf of Harold and Prisc