NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ALBERT AND PATRICIA MESSECAR CLAIMANTS AWARD #89-01264 V. SHEARSON LEHMAN HUTTON, INC. MIKE DEAN JOSEPH ALIOTO RESPONDENTS CASE SUMMARY The Statement of Claim was filed with the NASD, Inc. on April 27, 1989. Claimants, Albert and Patricia Messecar, alleged that they were unsophisticated investors with limited resources when Respondent,'

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Guta Kafka Claimant(s) vs. Dean Witter Reynolds, Inc. and William Scanlon Respondent(s) NOTICE OF ARBITRATION AWARD 89-01263 CASE SUMMARY Claimant(s) Guta Kafka alleged that Respondent(s) Dean Witter Reynolds, Inc. and William Scanlon negligently mishandled Claimant's account held with Respondent. Respondent(s) deny Claimant's allegations.

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lois Liming, Claimant v. M.L. Stern £ Co,, Inc., Everen Securities, inc., David Loeffler, and Dennis Robreck, Respondents Case Number: 99-02664 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: L. Louis Raring, Esq. Law Offices of L. Louis Raring Costa Mesa, California For Respondents M.L. Stem & Co., Inc., James D. Portman, Esq.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David Broida Claimant vs. E.F. Mutton, Co., Inc. Steven Matthews and Eugene P. DePatie Respondents ) AWARD ) NASD NO. 89-01262 ) ) ) .) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 27, 1989. Claimant alleged that Respondents breached their fiduciary duty by fail

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Debra Giese Claimant(a) vs. 89-01261 F.D. Roberts Securities, Inc. and Wall Street Clearing Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Debra Giese alleged that Respondent(s) F.D. Roberts Securities, Inc. and Wall Street Clearing Co. committed an unauthorized trade in Claimant's account. Wall Street Clearing Company

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) GERALD T. NIEDERT ) Claimant ) NASD No. 89-01256 v. ) ILLINOIS COMPANY INVESTMENTS, INC. } Respondent ) CASE SUMMARY In a Statement of Claim filed with the NASD on April 25, 1989, Claimant Gerald T. Niedert alleged that he was induced to purchase a public utility companies' stock by the representations made by Respondent's agent that this public

NATIONAL ASSOCIATION 'OF SECURITIES DEALERS In the Matter of the Arbitration Between Frances Barone Claimant(s) vs. Richard Olyniczak, Robert W. Caller, and New York Life Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-01247 CASE SUMMARY •Claimant(s) Frances Barone alleged that Respondent(s) Richard Olyniczak, Robert W. Caller, and New York Life Securities, Inc. negligently mishandled Claimant's account held

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Oppenheimer & Co., Inc. Claimant(s) vs. 89-01242 Walter Zipfel and Jack Brennan Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Oppenheimer & Co., Inc. alleged that Respondent (s) Walter Zipfel and Jack Brennan has not paid Claimant debit balance left in Respondents' account. Respondent(s) did not answer Claimant's allegati

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael T. Connell Claimant(s) vs. 89-01240 Robert Catoggio, Carl Lanzisera and Individual'a Securities, Ltd. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Michael T. Connell alleged that Respondents) Robert Catoggio, Carl Lanzisera and Individual's Securities, Ltd. executed unauthorized trades in Claimant's account held with

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph M. Walker Claimant(s) vs. 89-01233 Graystone Nash, Inc. and Chet Ellis- Respondent (s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Joseph M. Walker alleged that Respondent(s) Graystone Nash, Inc. and Chet Ellis fraudulently mishandled Claimant's brokerage account held with Respondent. Respondent(s) deny Claimant's allegations.