N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02666 Everen Securities, Inc., claimant vs. Christopher R. Clark, respondent. ATTORNEYS: For Claimant Everen Securities, Inc. ("Claimant"), A. Brad Busscher, Esq., Legal Department of Everen Securities, Inc., Chicago, Illinois. Respondent Christopher Clark ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 06/10/1999 CASE SUMMARY: Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John R. Lumpp Claimant(s) vs. 89-01317 Wall Street Clearing Company Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John R. Lumpp alleged that Respondent{s) Wall. Street Clearing Company failed to release his account after an unauthorized trade. Respondent(s) maintain that they cannot by held responsible for trades or trade canc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Shuh-Yueh Simon Hsu Claimant(s) vs. 89-01316 Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Shuh-Yueh Simon Hsu alleged that Respondent (s) Shearson Lehman Hutton, Inc. committed an unauthorized transaction in Claimant's account held with Respondent. Respondent(s) denies Claimant's allegations.

H.A.S.D. A1UD -imritfi OF Tn 89-01313 & Co., Inc. va. Joanne Abaodroth Claimant DVC-JFW Investors appeared at** was represented by Qullickson, Esq. of Lindquist & Venom, Minneapolis, Minnesota. Respondent Bear Steams & Co., Inc. appeared and waa represented by Mark Reed, Esq. of Drake & Rogosheske, Minneapolis, Minnesota. Respondent Joanne Abendroth appeared pro se. Respondent Nbnnan Gershnsn was -••JBI maifinl by Charles Weinberg, Esq. of Livin

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gary and Ursula Anderson JTWROS Claimant(s) vs. 89-01311 Wakefield Financial Corporation and Al Mine1la Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gary and Ursula Anderson JTWROS alleged that Respondent (s) Wakefield Financial Corporation and Al Minella failed to execute a trade. Respondent(s) did not respond. RELIE

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John A. Oxford Claimant(s) vs. 89-01308 Edward D. Jones & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John A. Oxford alleged that Respondent(s) Edward D. Jones & Co. failed to tender all of Claimant's shares of a certain security subject to a tender offer. Respondent(s) deny all allegations of wrongdoing. RELIEF REQU

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Raymond G. Sanchez Claimant(s) vs. 89-01304 Hyder & Co., Inc. and John Nuveen & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Raymond G. Sanchez alleged that Respondent(s) Hyder & Co., Inc. and John Nuveen & Co. failed to execute a sales transaction at the quoted price. Respondent John Nuveen & Co., Inc, maintains

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Jeannie Driver Claimant ) ) AWARD vs. ) ) NASD NO. 89-01302 Merrill Lynch, Pierce, Tenner ) & Smith, Inc. Respondent ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 2, 1989. Claimant alleged the following: fraud and breach of fiduciary duties, negligent misrepresentation and bre

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Beverly L. Weber Claimant(s) vs. Dillon Securities, Inc. and Thomas Dillon Respondent(s) NOTICE OF ARBITRATION AWARD 89-01301 CASE SUMMARY Claimant(s) Beverly L. Weber alleged that Respondent(s) Dillon Securities, Inc. and Thomas Dillon negligently mishandled Claimant's account. Respondent(s) deny Claimant's allegations. RELIEF REQUESTED

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of 89-01290 James Robinson Name QfBsSBQndentls ) Indiana National Brokerage Services, Inc BHC Securities, Inc. L.F. Rothschild Unterberg Towbin Rosenkrantz Lyon & Ross, Inc. case w .« , « • • < National Association of Securities Dealers. Inc. Suite 1680 Three First National Plaza Chicago. IL 6060