N.A.S.D. AMAED NATICNRL ASSOCIATION OF SECQRITTES DEAIfXS la. the Matter cf the Arbitration Between Name of Claimant (s) Timothy R. M-yjmgM-trt 89-02975 Mama of Ragpcodert (s) Richard T. Fisher For Claimant: Timothy R. MuffjHighUt* ("Mnrju^iHn") vas i nn'Minntm! by Mbttbew D. Mangbini, Esq. of Bosch & ^I'^ff^ij*' 1 , located in St. Louis, Missouri. For Respondent: Richard T. Fisher ("Fisher-) was repreemtad by David Well», Esq.,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between. Melvin Asch Doris Asch vs. Dean Witter Reynolds, Inc Steven L. Fusco Robert C. Honey Claimants AWARD NASD MO. 89-02969 Respondents SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on October 23, 1989. Claimants alleged: lack of suitability and unauthorized trading in the purcha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kirk H. Lindgren 89-02966 PaineWabber, Inc. and B. Thomas Hoffman Case Suranazy Kirk H. Lindgren ("Claimant") alledged that B. Thomas Hoffman, a registered representative of PaineWebber, inc. (Hoffman and PaineWebber are collectively referred to herein as "Respondents") churned his account. Claimant also alledged that the respondents violat

HATIOMAL ASSOCIATION OF SECURITIES DEALERS. TNC. T In the Matter of the Arbitration Among Rajinder Bhatia and Neena Grewal Claimants vs. Case #89-02965 Award Prudential-Bache Securities, Inc. and Edward Puttick Respondents CASE SUMMARY Claimants, Rajinder Bhatia and Neena Grewal, alleged Respondent, Edward Puttick, recommended and purchased three (3) investments in MFS Government Securities High Yield Trust, Fox Capital Corporati

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Name of Claimant Patricia Houvouras 89-02959 Merrill Lynch Fierce Fanner & Smith IDC David Furoan, and Gordon 1CK For Claimant: Howard Stern, Esq. of the law firm of Stern, Steiger, Croland, Tanenbaum & Schielke, P.A. For Respondent: Brian F. Amery, Esq. of the law finn of Bressler r Amery & Ross. CASE Statement of Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Jacob and Marian Futterman ) Claimants ) vs . ) AWARD ) NASD #89-02956 Charles Schwab & Co., Inc. ) Respondent ) - _ _ _ - — -- } SUMMARY O This claim was filed with the National Association of Securities Dealers, Inc. ("NASD") on October 23, 1989. Claimants ' alleaed that Respondent made an erroneous margin call which resulted in the

AAOSO Arbitration ® N.A.S.D. AWARD Nttlonti Association of Securttte* Dealers, Inc. One East Browara Boulevard Suite 1000 NATIONAL ASSOCIATION OF SECURITIES DEALERS ' ***** In the Matter of the Arbitration Between Joseph Baxiva ) ) ) Case No. 89-02954 ) tfenx^of^ResEjDiKtafitJ'sjL ) ) Charles Schwab & Company, Inc. ) Heard before the members of the Arbitration Panel: Joseph L. Caruncho, Esq. Camilla Besold Douglas

NASO N.A.S.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant t s) Donald E. Massey; Don Massey Cadillac Inc. Don Massey Cadillac, Inc. Revised & Amended Employees' Profit Sharing Plan & Trust Name q£ Respondent (s) PaineWebber, Inc. Michael Alioto National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Case No. 99-02859 Names of Respondents David S. Patrick William M. Harris Fred B. Bear, Jr. First Union Capital Markets Corp. REPRESENTATION OF PARTIES For Sterne, Agee & Leach, Inc. ("Sterne Agee"), hereinafter referred to as "Claimant": G, Wayne Hillis, Jr., Esq. and Erika C. Birg, Esq. of the law firm of Parker, Hudson, Rainer.^ Dobbs, LL

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Georgette Nebulo Claimant(a) vs. 89-02944 Vincent Beatty Respondent(s) AMENDED NOTICE OF ARBITRATION AWARD THIS NOTICE OF ARBITRATION AHARD SUPBRCBDBS THE NOTICE OF ARBITRATION AWARD DATED MAY 21, 1990 CASE SUMMARY Claimant(s) Georgette Nebulo alleged that Respondent(s) Vincent Beatty in violation of an oral agreement failed to provide a