NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant(s) vs. 89-01975 Richard Chen Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dean Wittar Reynolds, Inc. alleged that Respondent(s) Richard Chen has not paid Claimant the amount due in Respondent's option trading account. Respondent(s) has not responded to Claimant's allegations. RELIEF REQ

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) HOMER F. PITTMAN ) Claimant ) v. ) NASD NO. 89-01974 OARYL PARIS ) Respondent ) CASE SUMMARY Homer Pittman ("Claimant") alleges that Daryl Paris ("Respondent") did not execute a sell order upon Claimant telephoning the Respondent on August 31, 1987. The sell order was for Pathfinder Treasury and Growth Stock series one and series four. Claimant he-Id 50,0

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John M. Yeaton v. Salomon Smith Barney Inc. and Stephen Fox Case Number: 99-2725 Hearing Site: Southfield. Michigan REPRESENTATION OF PARTIES Claimant, John M. Yeaton ("Yeaton"), hereinafter referred to as "Claimant": John F. Mills, Esq., Williams, Williams, Ruby & Plunkett, PC, Birmingham, Michigan. Respondents, Salomon Smith Barney Inc. ("SSB") and Stephen Fox ("Fox"), herei

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) VflLLIAM H. ROOF, . ) Claimant, ) ) Gas* J89-01970 vs. ) Award ) PRUDENTIAL-BACHB SECURITIES, INC. and ) WILLIAM HOOD. ) Respondents. ) ) Heard before the Arbitrator: Craig Edward Stein, E«q. CASE SUMMARY This claim was filed with the NASD, Inc. on July 11. 1989. The hearing was conducted in Port Lauderdale, Florida on June 6, 19

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Shearson Lehman Hutton, Inc. Claimant ) vs. ) AWARD Stanley Schulman Respondent ) CASE NO. 89-01969 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on June ll, 1989. Claimant alleged that Respondent opened an account with Claimant and instructed fris Financial Consultant to purchase 100,000 shares of Sp

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between ) DEAN WITTER REYNOLDS, INC., ) Claimant, ) v s- ) Case J89-01968 ) Award CURTIS E. MERROW, ) Respondent. ) Heard before the members of the Arbitration Panels Roger C. Benson, Esq. Joseph A. Weston Jess G. Tucker CASE SWWARY This claim vac filed with the NASD, Inc. on July 11, 1989. The hearing was conducted in Tampa, Florida on April 18

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Niels A. Skov, Niels A. Skov as Claimants ) Trustes for the Thor H. Skov ) Trust, Niels A. Skov as Trustee ) for the Skov Marital Trust, Niels ) AWARD A. Skov as Trustee for the Skov ) Family Trust, and Joan Obennan as ) CASE NO. 89-01967 Trustee for the Joshua Skov Trust ) vs. ) Charles Dean, Randy Dean and Respondents ) Dean Securities )

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Harry Finch ) Sharon Finch Claimants ) ) AWARD vs. ) ) NASD NO. 89-01966 Merrill Lynch Pierce Fenner & Smith, Inc. ) Robert M. Brenner Respondents ) SUMMARY OP ISSUES Claimants alleged Respondents breached their fiduciary duty to Claimants, made material misrepresentations regarding the risks of margin trading, engaged- in unauthorized trading

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between. Juanita Ehrke 89-01960 of Resnrvte Joanne Stevens In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about July 10, 1989, Juanita Ehrke ("Claimant") alleged that Joanne Stevens ("Respondent") solicited her to open an account with Blinder, Robinson & Co., Inc. by telling her that her principal would be safe

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert L. and Lois A. Bernard Claimant(s} vs. 89-01959 John J. Fenwick, Bruce G. Scott, and Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert L. and Lois A. Bernard alleged that Respondent(s) John J. Fenwick, Bruce G. Scott, and Prudential-Bache Securities, Inc. negligently mishandl