N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02696 Robert F. Marsh and Christine G. Marsh, claimants vs. E*Trade Securities, respondent. ATTORNEYS: Claimants Robert F, Marsh and Christine G. Marsh ("Claimants"), appeared Pro Se., Hilliard, Ohio. For Respondent E*Trade Securities ("Respondent"), Bob Salvador, Compliance Analyst for E*Trade Securities, Palo Alto, California. DATE FILED: 6/14/1999 C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bess Byrne OATH AND . : ~ AWARD OF ' ARBITRATOR 89-01512 Claimant Merrill Lynch, Pierce, Penner & Smith, Inc. and Robert Craig Respondents Having been selected as an 'arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Haresh Kishinchand Ramnani Claimant(s) vs. 89-01511 Ladenburg Thalman & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Haresh Kishinchand Ramnani alleged that: Respondents) Ladenburg Thalman & Co. failed to transmit funds as requested by Claimant on a timely basis. Respondent(s) denied the allegations. RELIEF REQUESTED

N.A.S.D. A NATIONAL ASSOCIATION OF SECURITIES DFAT.RRS Shearson Lehman Hutton, Inc. Claimant, Counterrespondent v. No. 89-01510 William D. Mays Sharon A. Mays Respondents, Counterclaimants REPRESENTATION OF PARTIES For Claimant/Counterrespondent: John W. Shaw, Esq., of Bryan Cave, Kansas City, Missouri, and David V. Clark, Esq., of Lathrop & Norquist, Kansas City, Missouri. For Respondents/Countcrclaimant: Lawrence L. Marcucci, Esq.,

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. in the Matter of the Arbitration Between) Henry Blair ) Claimant ) ) AWARD VS . ) ) NASD #89-01508 Merrill Lynch, Pierce, Fenner ) & Smith, Inc. ) Randall Stender ) James T. Quade ) Respondents ) ) SUMMARY OF ISSUES Claimant alleged Respondents misrepresented certain facts concerning his margin account, particularly the buying power it held on specific dates and the tim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ELEANOR LORRAINE HERNANDEZ Claimant ) and ) ) CASE NO. 89-01507 DAVID FUTRANSKI, CARL BITLER and ) FIRST AMERICAN CAPITAL RESOURCES, INC. ) ) Respondents ) CASE SUMMARY Eleanor Lorraine Hernandez {"Claimant") alleges that First American Capital Resources, Inc. ("Respondent First American"), David Futranski ("Respondent Futranski"), Carl Bit

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant vs. Yl H. and Jin O. Kim Respondents OATH AND AWARD OF ARBITRATOR 89-01506 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties/ I solemnly swear or affirm that: I am not an employer of, employed by or related by blood or ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William R. Blanck Claimant(s) vs. 89-01505 Power Securities Respondent(s) SOTICB OP ARBITRATION AHARD CASE SUMMARY Claimant(s) William R. Blanck alleged that Respondent(s) Power Securities manipulated the price of the stock. Respondent(s) has been out of business and did not respond to Claimant's allegations. RELIEF REQUESTED Claimant (s) Will

Arbitration NATIONAL ASSOCIIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cl^imprf-s William & Angeline Dietrich vs National AMOCiation of Securtiftt Outers, (ne. NASD Financial Center 33 Whitehall Street New York, New rork 10004 Case # 89-01504 Janney Montgomery Scott, Inc., Gateway Financial Group, Inc. and Donald J. Settina Heard before the members of the Arbitration Panel: Mama F

Arbitration National AaaocMtan ot SacurMM DMtorv, Ine. NASD Financial Canttr 33 Whttahall StrMt NATIONAL ASSOCIATION OF SECURITIES DEALERS, INO^ewYof*.N«wYork 10004 In the Matter of the Arbitration Between Charles Yassky Claimant vs. Case: 89-01502 AWARD Hickey, Kober Inc. Paul Hickey and Steven Blankstein Respondents CASE SUMMARY Claimant alleges respondents made unauthorized purchases of Fertilachron Inc. in his account