Arbitration NASD AWARD National Associatio N.A.b.D. AWARD Sacuritias Daatart. Suite 1680 Three First Nations NATIONAL ASSOCIATION OF SECURITIES DEALERS Chicago, II 60602 (312) 899-4440 In the Matter of the Arbitration Between Marie Ward DeBeer, Marie Ward DeBeer Trust 89-02594 The Chicago Corporation Jonathan S. Raclin CASE In a claim filed on or about, September 18th, 1989, Claimant Marie W. DeBeer as Trustee on behalf of the Ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Narhari J. Patel Claimant(s) vs. 89-02593 Kennedy, Cabot & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Narhari J. Patel alleged that Respondent(s) Kennedy, Cabot & Co. stopped all buying activities in Claimant's margin account for no reason. Respondent(s) maintain that the Claimant's allegations are without merit and

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kenneth H. Highara Claimant vs. AWARD #89-02590 Thomas James Associates Respondent Case Summary Claimant alleged that Respondent negligently recommended investments in common stock and warrants and misrepresented these securities to him. Claimant further alleged that these negligent misrepresentations resulted in losses to his account. Respondent main

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ERVIN L. KNUTSON ) Claimant ) and ) ) CASE NO. 89-02588 GEORGE WASSON AND HEINER & STOCK, INC. ) Respondents ) CASE SUMMARY In a claim filed with the NASD on or about September 18, 1989, Claimant Ervin L. Knutson ("Claimant") alleged in Count I that Respondents George Wasson ("Wasson") and Heiner & Stock, Inc. ("Heiner") (collectively as "Resp

N.A.S.D. AWARD Nftl'HIKRL ASSCCXKnCN OF SBCnSlTffiS DEALERS la the Matter of the Arbitration Between Virginia V. Balbert, Sandra L. Allen, BlBhnp, and David G. and Anna M. Pavelic #89-02582 •89-02583 #89-02584 Button, lac. Richard Melzer, and Richard Camay it: Denise Davis Schwartsm, Escr. of Greenfield & f^Hn»i e*i *m and Frank Lewis, Esq. of Tjuymam, Began, Lewis & Marks. Viif POUI «i lAmt-a» Casey ^*" mf Esq. of ffha»T*np»

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: ETHELYN TYSON ROSE, Individually, as Administratrix CTA of the Estate of HARRIETTE T. ANDREAE, Deceased, and as Custodian for KIPP D. CLARK, A Minor, Under the Uniform Gifts to Minors Act of New Jersey and SUSAN R. CLARK as AWARD Custodian for Kipp D. Clark, a minor under #89-02580 the Uniform Gifts to Minors Act of New Jersey CLAIMANTS V. SHEA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(SV Priscilla Salem 89-02578 Name of Respondentfs^ Prudential-Bache Securities Inc. Ton Harrington Heard before; Name Public/Industry Public / Chair_ Public Sondra Taggart Industry This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on Novembe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Renay E. Vickers vs. Stuart -James Company Smith Barney Harris Co. , Inc. Rick Arthur Kneisley Arbitration Between Claimant Upham & Respondents ) ) ) ) ) ) ) ) ) ) ) AWARD NASD #89-02575 SUMMARY OF ISSUES Claimant alleged Respondents traded her account excessively for the purpose of generating commissi

• -..- r» . • ^ S NOTICE 0? ARBITRATION AWARD 39-02573 In the Matter of the Arbitration Between Ccr.ald /Sirens Claimants) vs. Financial Clearing and Services Corp. vs. Rushnr.are Securities, John Rick and Harvey I. Hcutkin Respondent (s) 'I CASE SIH-LMARY Claimant(s) Donald Ahrsns alleged that Respondent(s) Financial Clearing and Services Corp. improperly seized and liquidated to the cpen rr.arxet 6150 cc

N.A.S.D. AWARD NftXICNMi ASSOdAHCN OF SECURITIES DEALERS In the Matter of the Arbitration. Between Name of dajggntte). Angela 6111 TVsriTm Ebpkiaas Robert vs. 89-02570 Wall Street Pacific Flnnnrlal Resources Gene Williams, Jr. Angela Gill a ™^ TVqtnji Par Respondents: Gene Williams, Jr. represented Respondents Statement of Claim filed: September 14, 1989 Claimants' Sutanissian Agreenenta signed on: September 1, 1389 Joint