NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Barry and David Lipman, Co-Trustees for William Lipman Family Trust Nos. 1 and 2 Claimant(s) vs. Drexel Burnhara Lambert, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-01760 CASE SUMMARY Claimant(s) Barry and David Lipman, Co-Trustees for William Lipman Family Trust Nos. 1 and 2 alleged that Respondent(s) Drexel Burnham Lambert, Inc. negli

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas J. Lelli Claimant(s) vs, 89-01754 Michael Whelchel and PaineWebber, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Thomas J. Lelli alleged that Respondent(s) Michael Whelchel and PaineWebber, Inc. executed an unauthorized transaction in Claimant's account and failed to advise Claimant of the resulting loss.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In a Matter of Arbitration Between ) ) DOUGLAS MADEL ) Claimant ) NASO No. 89-01753 v. . ) TANGA ALEXANDER AND ALLIED CAPITAL ) GROUP, INC. ) Respondents) CASE SUMMARY In a claim filed with the NASD on June 15, 1989, Claimant Douglas Made! ("Claimant") alleged that Respondent Tanga Alexander ("Alexander") failed to comply with his stated investment objectives of purchasing new issu

N.A.S.D. AHARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between "iiTpmt's_ Irene Bobbins & Bert Shepherd, Trustees of the Davis Bobbins Family Trust and the Davis Rabbins Marital Trust 89-01751 nf Rescnrigvt s Poland Day John Albert DeCastro Day Claimants alleged that Respondents executed trades in the Claimants' accounts without prior orders from, or the permission of, or even prior notice to,

F N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: #99-02706 Charles Schwab & Company, Inc., claimant vs. John D, Matz, respondent. ATTORNEYS: For Claimant, Charles Schwab & Company, Inc., appeared Corporate Attorney, Richard A. Karoly, Esq., San Francisco, CA. Respondent, John D. Matz, did not respond to the Statement of Claim. DATE FILED: June 14, 1999 CASE SUMMARY: Claimant alleged that respondent so

Arbitration N.A.S.O. AWARD NATIONftL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between National Astociation o« Sacuritiaa Oaalara, Inc. -Suite 1680 Thrae First National Plaza Chicago, IL 60602 (312) 899-4440 Henry Halting Salzarulo Ira Rollover John W. Kenney, M.O. William A. Pagan, Jr. Larry B. Lahr Bruce McGill, Eric R. Spielhagen Rauscher Pierce Refsnes, Inc. Donaldson Lufkin 6 Jenrette Sec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betweenf Arbitration National Association of Securrbee Dealer*. Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale. Florida 33301 (305) 522-7391 Jan Vigeant and JAMI of Clearwater, Inc. of Integrated Resources Equity Corp. Mitchell v. Braun Case No. 89-01740 Heard before the members of the Arbitration Panel: George S. Coi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Hatter of the Arbitration Between ) ) Paul J. Abramscn Claimant ) ) v*. ) AWARD ) M. B. Vick & Company, Inc. and Respondents ) CASE NO. 89-01739 Peter Vick ) ) SUMMARY OF ISSUES This case was filed on June 14, 1989. Claimant Paul J. Abramson alleges that Respondents M. B. Vick & Co., Inc. and Peter Vick induced Claimant into investing in a certain common stock which was un

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: IRENE ROBBINS AND BERT SHEPHERD, TRUSTEES FOR THE DAVIS ROBBINS FAMILY TRUST AND THE DAVIS ROBBINS MARITAL TRUST CLAIMANTS V. PAINE WEBBER, INC., JOHN DAY, JERRY PAYNE, ARTHUR JAMES HUFF, BRUCE A. BURSEY, THOMAS P. HART, W. DAVID EAST AND DAVID L. ARNOLD RESPONDENTS AWARD #89-01737 CASE SUMMARY The Statement of Claim was filed on June 13, 1

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Hatter of the Arbitration Between Janes and Linda Engler vs, Claimant(s) 89-01734 J.C. Bradford & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(0) James and Linda Engler alleged that Respondent(s) J.C. Bradford & Co. misrepresented material facts regarding their retirement funds and mishandled their account. Respondent(s) maintain that Claimant has failed to