NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. CASE 89-02567 AWARD In the Matter of the Arbitration Between Aleta Dornbos Claimant vs. Prudential-Bache Securities, Inc.; Ted Bien and James Dunn Respondents CASE SUMMARY Claimant alleges that Respondents made an unauthorized transfer of 1,623 shares of Hidden Strength Growth Fund into Hidden Strength Money Market. She contends that when Respondents repurchased her original shares

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert T. and Mary Ann Ruff and Northwest Bay Trust Claimants and 89-02566 Shearson Lehman Hutton, Inc. and Respondent and Mark Rehms Third Party Respondent REPRESENTATION OF PARTIES Claimant Robert T. Ruff, Esq. appeared pro se' and representing Claimants Mary Ann Ruff and Northwest Bay Trust. Respondent Shearson Lehman Hutton

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant f si Donna L. Montgomery Donald E. Montgomery Timothy J. Montgomery St. John's Publishing, Inc. National Association of Securities Dealers, Inc. Suite 1680 Three First National Plaza Chicago, IL 60602 (312) 899-4440 89-02563 Name of Respondentfs^ Dain Bosworth, Inc. Donna L. Montgomery, D

NATIONAL ASSOCIATION OF SECURITIES DEALERS •f- In the Matter of the Arbitration Between Plaza Hall Claimant(s) vs. 89-03024 P.F.G. Securities Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Plaza Hall alleged that Respondent (s) P.F.G. Securities executed an unauthorized purchase of foreign currency denominated six month corporate term notes in Claimant's money market account. Respondent(s) maintain th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In i h° Matter of the Arbitration Between ) Name of Vincent B. Greenwood ) ) ) 89-03019 ) Award Name of Respondent's} ) ) Steve Thomas ) Paul Powers ) Claimant, Vincent B. Greenwood (hereinafter "Claimant") alleged that Respondent, Steve Thomas (hereinafter "Respondent") failed to place him in a bond fund that complied with claimant's stated investment criteria. Claimant

10 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between) ) Name of Clalfliantfs) ) ) Henry G. and Beverly B. Lyle ) Dean Witter Reynolds, Inc. Smith Barney Harris Upham & Co., Inc. Philip Anderson Arbitration National Aaaodatton of SecurttiM Oeatora, Inc. On* East Browan) Boulevard Suite 1000 Ft. Lauderdale, Ronda 33301 (305) 522-7391 Case No. 89-03018 For Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Monty Fein Claimant(s) vs. 89-03015 Easter Kramer Group Securities Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Monty Fein alleged that Respondent(a) Easter Kramer Group Securities Inc. purchased securities in Claimants' account without authorization. Respondent(s) did not defend. RELIEF REQUESTED ^ Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Scott and Diane Harnden Claimant(s) vs. 89-03014 Kimbridge & Co. and Joseph Marino Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Scott and Diane Harnden alleged that Respondent(s) Kimbridge & Co. and Joseph Marino committed unauthorized trading in their account resulting in the account being liquidated to meet a margin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of rlaitnant-fs) Roxann Haupt 89-03011 Name qf. Respondent^) Shearson Lehman Brothers, a/k/a Shearson American Express Heard before: Name Public/Industry Philip Marshall, Esq. Public Arbitrator (chairperson) Margery Gootnick, Esq. Public Arbitrator Joseph Gentile Industry Arbitrator Claimant Roxann Haupt was represented by

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants lames Thomas, Jr. Frankie J. Thomas Case No. 99-02821 Name of Respondent Citicorp Investment Services REPRESENTATION OF PARTIES For James Thomas, Jr. and Frankie J. Thomas, hereinafter collectively referred to as "Claimants": Robert Wayne Pearce, P.A., Boca Raton, Florida. For Citicorp Investment Services ("Citicorp"), hereinafter referred to