N.A.S.D. AK?r NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Helen W. Koernig and Raynond C. Roernig Claimants and 89-0103? and 89-01093 Boettcher & Company Respondent and Cross Claimant and Paul Jackson Cross Claim Respondent and Cross Claimant CASE SIM4ARY In claims filed with the NASD on or about April 11, 1989, Claimants Helen W. Koernig and Raymond C. Koernig (collectively as "Claiman

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Norman Schupack Claimant vs. Jack Eaker Anthony Stoisich Respondents Case #89-01086 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 10, 1989, Claimant Norman Schupack alleged the Respondents churned his account to generate commissions, executed unauthorized trades, and furnished him

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Terry W. Miller Claimant(s) vs. 89-01085 Kober Financial Corp. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Terry W. Miller alleged that Respondent(s) Kober Financial Corp. failed to "cash out" Claimant's account in October 1988. Respondent(s) maintain that Claimant's account was handled properly tinder the circumstances.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dennis W. Miller Claimant(s) vs. AWARD 89-01082 Dillon Securities and Warren & Brown Associates, Inc. Respondent(s) NOTICE OP ARBITRATION CASE SUMMARY Claimant(s) Dennis W. Miller alleged that Respondent(s) Dillon Securities and Warren & Brown Associates, Inc. failed to execute a transaction. Respondent(s) deny Claimant's allegations. RELIEF R

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard M. Evans Claimant(s) vs. 89-01078 Linda Barlow and Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Richard M. Evans alleged that Respondent(a) Linda Barlow and Merrill Lynch, Pierce, Fenner & Smith, Inc. misrepresented the fee charged in connection with the purchase of cert

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between 'R. Delores Brokke Claimant(s) vs. 89-01075 Thomson McKinnon Securities, Inc., Jim Haas and Ron Coleson Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) R. Delores Brokke alleged that Respondent(s) Thomson McKinnon Securities, Inc., Jim Haas and Ron Coleson mismanaged Claimant's account. Respondent(s) deny Claimant's allegations.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Melvin & Elaine Schwartz Claimants vs. Shearson Lehman Hutton, Inc. Judy Lev Respondents Case * 89-01073 AWARD CASE SUWARY This proceeding was commenced initially on April 10, 1989 by Claimants Melvin and Elaine Schwartz against Respondents Shearson Lehman Hutton, Inc. ("Shearson") and Judy Lev ("Lev"}, and arises out of a certain account held

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Paula J. Ponte Claimant(s) vs. 89-01071 PaineWebber, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Paula J. Ponte alleged that Respondent(s) PaineWebber, Inc. made misrepresentations. Respondent(s) maintain that the investment in question was never offered as a "money market fund/" nor was there ever any guarantee mad

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael A. Corsaro Claimant(e) vs. 89-01070 The Stuart-James Co. and Vincent Traina Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Michael A. Corsaro alleged that Respondent(s) The Stuart-James Co. and Vincent Traina made unauthorized transactions. Respondent(s) deny Claimant's allegations. RELIEF REQUESTED Claimant(s)

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Lavata Gresham, Virginia Hurlbut, Barnice Kitkoski, T.mian A. Boons, Bernice Kujawa, Mary Lou Medillin, Anna Mae Waldrip, Carole M. Moore, and Delores Sorrick 89-01067 Name of Ruatioretent (s \ E.F. Button & Company, Inc., n/k/a Shearson Lehman Bcotheca/ Inc. George Mulquean Claimants Lavata Greoham, Virginia Hurlbut, Barnice Kitkooki, T.1U