NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wilma J. Miller Claimant(s) vs. 89-02102 Dean Witter Reynolds/ Inc./ Anthony P. Fcwkes, and Timothy Callahan Respondent(s) HOTICB OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Wilma J. Miller alleged that Respondent (s) Dean Witter Reynolds, Inc., Anthony P. Fowkes, and Timothy Callahan failed to execute a sell order. Respondent(s) mainta

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) SANDRA K. MARSHALL and WILLIAM B. MARSHALL ) Claimants ) NASD No. 89-02099 and ) ) DRBZELr BURNHAM, LAMBERT, INC. ) A.6. EDWARDS & SONS, INC. and STEPHEN MATZA ) Respondents ) ) REPRESENTATION OF PARTIES Sandra K. Marshall and William B. Marshall were represented by Firmin A. Puricelli, Esq. Schumaier, Sluggett, Wesael & Puric

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Philip E. and Theresa M. Martin Claimant(s) vs. 89-02093 Shearson Lehman Hutton, Inc. and Harry Ingram Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Philip E. and Theresa M. Martin alleged that Respondent(s) Shearson Lehman Hutton, Inc. and Harry Ingram committed an unauthorized trade with respect to Claimants' account

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of Arbitration Between Herbert S. Cooper JTWROS CASE 189-02088 Mary E. Cooper AWARD Claimants vs. A1 Celente Respondent CASE SUMMARY Claimants, Herbert S. Cooper and Mary E. Cooper, thru their sor^Neal Cooper, who handled their account,alleged that Respondent^Al Celente and his firm failed to live up to their verbal statements and printed ideals when Al Celente sold them Penn

Arbitration N.A.S.D. AWARD „ , . _ National Association of Sacuritws Dealers, Inc. Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS ' Three First National Plaza Chicago. IL 60602 (312) 899-4440 In the Matter of the Arbitration Between WLLjrmar Financial Corporation 89-02085 Name of Respondent.^) North American Investment Corporation William Dlerauer Louis Robo CASE In a claim filed with the NASD on or about July 24,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Catherine Ehlen Brutger, Paul Ehlen, Mary Ehlen, Steven Ehlen and Frederik Ehlen, Claimants and Pecan Securities, Inc., Merle Levitt and , William Kleckner, , Respondents ( In a claim filed with the NASD on or about July 24, 1989, Catherine Ehlen Brutger, Paul Ehlen, Mary Ehlen, Steven Ehlen and Frederik Ehlen ("Claimants") alleged that

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Shizuko Yoka Claimant(s) vs. 89-02081 First Interstate Capital Markets, Kemper Financial Services and Dennis B. Adams Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Shizuko Yoka alleged that Respondent(s) First Interstate Capital Markets, Kemper Financial Services and Dennis B. Adams misrepresented material facts as to

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) GARY R. and ROBERT J. SNYDER. ) Claimants. ) Case 89-02074 vs. ) Award ) PRUDBNTIAL-BACHE SECURITIES, INC. ) and CRAIG ADAMS, ) Respondents . ) Heard before the members of the Arbitration Panel: Casey W. Mills, Esq. • Elizabeth L. Clark Anthony S. Paetro, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on July 24, 1989. Th

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Richard Zamparelli and John Zamparelli Claimant(s) vs. 89-02068 Brennan Ross Securities, Inc. Respondents) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Richard Zamparelli and John Zamparelli alleged that Respondent(s) Brennan Ross Securities, Inc. mismanaged their account. Respondent denied the allegations and stated the Claimants

Stipulated Award NASD Dispute Resolution, Inc. he Matter of the Arbitration Between Name of Claimant Ulla Searing-duPont f/k/a Ulla R. Searing Case No. 99-02731 Names of Respondents Bear, Stearns & Co., Inc. Bear, Stearns Securities Corp. Stovall/Twenty-First Advisors, Inc. Twenty-First Securities Corp. Robert H. Stovall REPRESENTATION OF PARTIES For Ulla Searing-duPont f/k/a Ulla R. Searing, hereinafter referred to as "Claimant": Wi