NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gary and Rita Dewerff Claimant(s) vs. 89-00867 Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY 1 Claimants Gary and Rita DeWerff alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. did not execute Claimant order on a timely basis. Respondent denies allegations. RELIEF REQUE

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Patricia A. Haney ) Claimant(s) ) and ) CASE NO. 89-00865 Dean Witter Reynolds Inc. ) ) Respondent (s) CASE SUMMARY In a claim filed with the NASD on or about March 21, 1985, Claimant, Patricia A. Haney ("Haney") alleged that Respondent, Dean Witter Reynolds Inc. ("Dean Witter") violated Section 10(b) of the Securities Exchange Act of 1934 a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) AUDREY JACKSON, ) Claimant, ) ) Case 189-00863 vs. ) Award ) SHEARSON LEHMAN HUTTON AND COMPANY. ) AND DONALD TOLLIN. ) ) Respondent. ) Heard before the member of the Arbitration Panel: Casey V. Mills. Esq. CASE SUMMARY This claim was filed with the NASD. Inc. on August 22, 1989. The hearing was conducted in Fort Lauderdale. Flor

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(s) vs. 89-00862 Paula Levine Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) Paula Levine failed to pay the balance due on her account. Respondent(s) maintain that Claimant has mishandled her account. RELIEF REQUESTED Claimant(s) Charle

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Walter & Marilyn Grace Claimants vs. Prudential-Bache Securities, Inc. and Charles T. Giambrone Respondents CASE SUWARY Case #89-00861 AWARD This proceeding was commenced initially on March 20, 1989 by Claimants Walter and Marilyn Grace against Respondents Prudential-Bache Securities, Inc. ("Pru-Bache") and Charles T. Giambrone ("Giambrone"}. Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of Claimants) Barbara Ratzlaff, Trustee 89-00858 nf Gordon K. Williamson Gordon K. Williamson & Associates The Market Timer, Inc. Heard before: William R. Newsone Public Marjorie B. Boldeman Public_ David N. Mahler Industry, This matter was initiated by a Statement of Claim filed with the National Association of Securities

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Christine Evans Claimant(s) vs. Blinder, Robinson & Co., Inc. vs. Bryan Philip Kuvick Respondent(s) NOTICE OF ARBITRATION AWARD 89-00848 CASE SUMMARY > Claimant(s) Christine Evans alleged that Respondent ( s ) Blinder, Robinson & Co., Inc. failed to execute transactions in a timely manner. Respondent ( s ) maintain that the broker, Bryan P

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dennis A. Wai]ace vs. Voss & Co., Inc. Claimant Respondent AWARD #89-00847 Case Summary Claimant Dennis A. Wallace alleged that Respondent Voss & Co., Inc. through its employee Stuart Phillips advised the Claimant to close out options position with another brokerage firm and to place a "buy stop" on American Brands common stock January 60 calls at 7.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) W. Ray Gulp, III ) Claimant(s) ) and ) CASE NO. 89-00845 Shearson, Lehman Brothers, Inc. ) .»«-. .... and ) I George Landolt ) Respondent(s) ) CASE SUMMARY A'- TRA - j r - - - ————^—— • • »»-•• ••^(••t_. . ... _ In a claim filed with the NASD on ox about rTaTch"20r i-989,~Glai»»»r,, W. Ray Gulp, III C"Culp") alleged that Respondents Shearson,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ofthe Arbitration Between ) DAN W. AND JUDITH I. GUDE ) Claimant(s) ) Case No. 89-00843 and ) BLINDER ROBINSON & CO., INC. ) PHYLLIS DUCHEIN ) Respondent(s) CASE SUMMARY In a statement of claim filed with the NASD on or about March 20, 1989, Claimants Dan and Judith Gude ("the Gudes") alleged that the Respondents Blinder Robinson & Co., Inc. ("Blinder Robinson") and Phyllis D