NATIONAL ASSOCIATION 0? SECURITIES DEALERS, INC. In the Matter of the Isadora Burstein and Warren Nachmann VS. O.K. Wallach Options and David Wallach Wallach, Inc. vs. Warren Nachmann and I a adore Burstein Arbitration Between Claimants , Inc., Wallaoh Group, Respondents Claimant . Respondents X X X X X x CASE NO. x 89-01837 x (Consolidated Inc., x with 89-01952 x and 90-00125)

I N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between: Robert E. Burchfiel Claimant of Arbitration Award '"* 89-01830 Dale Roehrman and Larmer - Sykes Co. d/b/a LSCO Securities, Inc. Respondent REPRESENTATION OF PARTIES Claimant Robert E. Burchfiel was represented pro se. Respondents Dale Roehrman and Lamer - Sykes Co. did not answer the Statement of Claim. CASK SUMMARY

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard Tuthill TTEE, Tim Jon Defined Benefit Plan, Claimant v, Oppenheimer & Co., Inc. and Adam F. Coblin, Respondents. Case Number: 99-02709 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California. For Respondents: David L. Becker, Esq. CIBC World Markets Corp. New York

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Hedvig M. Peterson Claimant and Shearson Lehman Button, Inc. Respondent A W A R D 89-01826 CASE SUMMARY Claimant, Hedvig Peterson ("Peterson") alleged as follows: 1. Peterson is a 100 year old widow with impaired vision. She liquidated her savings account and certificates of deposits and transferred the proceeds therefrom into an

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marcia Farrell Granz Claimant(s) vs. 89-01822 Eric Monchecourt, Power Securities, Inc., and Pittock Financial Corp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Marcia Farrell Granz alleged that Respondent(s) Eric Monchecourt, while employed by Power Securities Corp. made misrepresentations and used high pressure sales te

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Jeffrey Christiaansen Claimant(s) vs. 89-01821 Shearson Lehman Hutton, Inc. and Tom Bauman Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Jeffrey Christiaansen alleged that Respondent (s) Shearson Lehman Button, Inc. and Tom Bauman failed to execute Claimant buy order for stock. Respondent(s) have not responded to Claimant'

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of -the Arbitration Between ) Jeffrey Alan Feldman Claimant ) vs. ) AWARD Charles Schwab & Co., Inc. Respondent ) CASE NO. 89-01820 SUMMARY OF ISSUES This case was filed on June 23, 1989. Claimant Jeffrey Alan Feldman alleges that he entered into net credit spread S&P index option transaction on March 1, 1989. On March 16,- 1989, he was assigned on his short position. Claimant alleges th

NATIONAL ASSOCIATION OF SECURITIES DEALERS Iii. the 'Hatter of the Arbitration Between Nicholas and Marv Ann Shust Claimant(s) vs . Power Securities, Inc. and Sue McHuch Respondent(s) NOTICE OF ARBITRATION AWARD 89-01819 CASE SUMMARY Claimants Nicholas and Mary Ann Shust alleged that Respondent Power Securities, Inc. and Sue McHuch executed an unauthorized transaction in Claimants' accounts. Respondents did hot defend. RE

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Barbara Mallardi vs. Claimant AWARD #89-01818 Blinder, Robinson & Co., Inc. Respondent Case Summary Claimant Barbara Mallardi alleged that Respondent Blinder Robinson & Co., Inc. executed unauthorized trades of common stock in her account and failed to correct the errors despite statements to do so by Respondent. Respondent Blinder, Robinson & Co., In

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Robert T. and .Editha A. Hahn ) Claimants } vs. ) AWARD Merrill Lynch, Pierce Fenner ) & Smith, Inc., and Patrick ) F. Sinclair Respondents ) CASE NO. 89-01817 SUMMARY OF ISSPES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") .on June 23, 1989. Claimants alleged that the index options trading and strategies recom