NASID Arbitration N.A.S.D. AWARD National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DEALERS New York. New York 10004 In the Matter of the Arbitration Between Narne of William and Maybelle Shrader vs 89-01047 Name of Respondents Walter Mueller Burtis Hackett Heard before: Public/Industry D. Joan Sampieri Public Claimants - Pro se Respondent

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Gerald B. Goodman Phyllis Goodman Arnold F. Rothman Case No. 99-02625 Names of Respondents Noble International Investments, Inc. Wayne R. Home Craig R. Cohen REPRESENTATION OF PARTIES For Arnold F. Rothman ("Rothman") and Gerald B. Goodman and Phyllis Goodman ("Goodman"), hereinafter also referred to as "Claimants": Richard A. Steph

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Edward C. Mendez and Nancy Coparaso Mendez Claimants vs. Equitable Securities of New York, Inc. David W. Appel, Jr. Respondents vs. James J. Lorenzo First Albany Corporation John T. McLauahlin Third Partv Respondents CASE '89-01046 AWARD CASE SUMMARY Claimants, Edward C.Mendez and Nancy Coparaso Mendez ("Claimants") alleged that

NATIONAL ASSOCIATION OF SECURITIES DEALERS, If- 1 . In the Matter of the Arbitration Between/Amona i Claire Fischl Claimant Case -89-01042 AWARD vs. Arbitrage Securities Company Respondent CASE SUWARY This claim was filed on April 6. 1989. Claimant, Clair that Justin Colin, the registered representative employee Arbitrage Securities Company, failed to properly and exi securities in her portfolio as instructed. Claimant furthe

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Janet R. Conant Claimant(s) vs. Townsley Associates Respondent(s) NOTICE OF ARBITRATION AWARD 89-01040 CASE SUMMARY Claimant(s) Janet R. Conant 'alleged that Respondent(s) Townsley Associates mishandled her account. Respondent(s) denied all allegations. RELIEF REQUESTED Claimant (s) Janet R. Conant requested damages of One Thousand Dollars

N.A.S.D. AHARD ASSOCIAT1CW OP SECURITIES DEALERS In the Matter of the Arbitration Between GERALDINE A. BRIJA & LHC& A. WEAVER, JTHROS Claimant 89-01039 and MERRILL LXNCH, PIERCE, FEWER. & SUPER. INC. & C ERICA. KCMARCK CP Claimants Geraldine A. Brija and T.inrfa A. Weaver appeared DTD se. Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and C. Erika Komarck were represented by Peter A. Cantwell, Esq and Paul H. Scheurlein,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Carleen A. Myers Claimant ) AWARD vs. ) CASE #89-01037 Christopher Weil & Company, Inc., ) George Forrester and ) Bryan Shobe Respondents ) SUMMARY OF ISSUES Claimant alleged Respondents breached their fiduciary duty to her, defrauded her by investing her funds in unsuitable index options, engaged in unauthorized transactions, and misrepresented to Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gregory M. Monroe Claimant(s) ARBITRATION vs. AWARD 89-01036 Greystone Nash, Inc., Cutwater & Wells, Inc. and Michael Wain. '-•--' Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Gregory M. Monroe alleged that Respondent(s) Greystone Nash, Inc., Outwater & Wells, Inc. and Michael Wain has refused to pay back Claimant's initial investment mone

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) FRANK E. KOEHN AND MARY E. KOEHN ) ) Claimants ) and ) ) CASE NO. 89-01035 GEORGE A. PATRICK, JR. ) ) Respondent ) CASE SUMMARY Frank E. and Mary E. Koehn ("Claimant") alleged that George A. Patrick, Jr. ("Respondent") misrepresented and omitted to state material facts regarding the following: 1) Shannon Energy, 2) American Strategic

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Duane M. Thompson and ) O.M. Thompson, Inc. Claimants ) vs. ) CASE NO. 89-01034 ) Smith Barney, Harris Upham ) and Company, Inc. ) Gregory Oufault, and Piper ) Jaffray & Hopwood, Inc. Respondents ) SUWARY OF ISSUES This case was filed with the NASD on April 4, 1989. Claimants alleged that Respondents failed to place stop-loss orders on speci