NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David L. Jenson Claimant(s) vs. 89-02942 Dean Witter Reynolds, Inc. Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(3) David L. Jenson alleged that Respondent(s) Dean Witter Reynolds, Inc. failed to execute Claimant's sell order on a timely basis. Respondent denies Claimant's allegations. RELIEF REQUESTED Claimant (s) David

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Timothy Sapyta Claimant(s) vs. Allied Capital Group vs. Brian Polan and Linda Gears Respondent(s) NOTICE OP ARBITRATION AWARD 89-02936 CASE SUMMARY Claimant(s) Timothy Sapyta alleged that Respondent(s) Allied Capital Group made material misrepresentations to induce Claimant to purchase securities issued by fraudulent companies. Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Wayne Mercier vs . James Briggs, Peter Sweeney, and Shearson Lehman Hutton, Inc. Between Claimant Respondents X X X X X X X X X X X X CASE NO. 89-02934 AWARD CASE SUMMARY Claimant, Wayne Mercier ("Mercier"), alleged that Respondents, Shearson Lehman Hutton ("Hutton"), James Briggs ("Briggs") an

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ronald A. Larson Claimant(s) NOTICE OP ARBITRATION vs- AWARD 89-02932 Allied Capital Group, Inc. VS. John DeMeo Respondent(s) CASE SUMMARY Claimant(s) Ronald A. Larson alleged that Respondent(a) Allied Capital Group, Inc. committed an unauthorized transaction with respect to Claimant's account. Respondent(s) Allied Capital Group- denied Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Helen 0. Warinsky Claimant(s) vs. 89-02931 Merrill Lynch, Pierce, Fenner & Smith, Inc. and Delight R. Green Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Helen 0. Warinsky alleged that Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. and Delight R. Green sold securities to Claimant which were unsuitable and failed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between") ) ) ) Worry A. Koppal Shearson Lehman Hut ton, Inc. Case No. 89-02929 Heard before the Arbitration Panel: Arthur J. Laibell, Esq. Jack C. Aycock Harry Polanaky Public Industry Public This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on October 19,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard P. Jones Claimant(s) vs. 89-02925 Sprung & Wise Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Richard P. Jones alleged that Respondent(s) Sprung & Wise Securities, Inc. made an error in the quoted price. Respondent did not respond. RELIEF REQUESTED Claimant(s) Richard P. Jones requested dam

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Q ^ Paul R. Carr Case #89-02921 Martha A. Carr Award vs. Name of Be8Ponden.t(g] Gruntal & Co., Inc. < 3ary A. King The Statement of Claim was filed on July 18, L'Jin. claimant*, Paul R. Carr & Martha A. Carr alleged that Respondents, Gruntal & Co., Inc. and Gary A. King were negligent in the handling of Claimants account, vi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEH£RS In the Matter of the Arbitration Between Name of Robert J. and Barbara J. Mrozak Annen and Helen Markarian Consolidated 89-02920 Stuart James Company, Inc. Richard C. Whelan In a Statement of Halm filed with the National Association of Securities Dealers, Inc. ("NASD") on or about October 16, 1989, Claimants Robert J. and Barbara J. Mrozak ("the Mrozaka"), alleged that: Respondents

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lon W. Mericle, Claimant vs. A.S. Goldmen & Company, Inc., Stuart Winkler, Anthony Marchiano and Joseph William Donohue, Respondents. Case Number: 99-02854 Hearing Site: Milwaukee. Wisconsin REPRESENTATION OF PARTIES Claimant, Lon W. Mericle ("Mericle") (hereinafter referred to as "Claimant"), was represented by Christine McNamara, Esquire, of The Law Offices of Patrick Ba