Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paul Mullen, Trustee, American Restoration & Waterproofing, Inc. Defined Benefit Pension Plan, Claimant/Counter-Respondent, and Case Number: 99-02596 Hearing Site: Oklahoma City, Oklahoma Azmi Yacoub Fakhoury and Everen Securities, Inc., n/k/a First Union Securities Inc., Respondents/Counter-Claimants. REPRESENTATION OF PARTIES Claimant/Counter-Respondent P

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lawrence Sales Ltd., Partnership, Max and Rita Lawrence Claimant(s) vs. 89-00841 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Lawrence Sales Ltd., Partnership, Max and Rita Lawrence alleged that Respondent(s) Prudential-Bache Securities, Inc. made misrepresentations. Respondent(s) maintai

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jeffrey A. Derosiers Claimant(s) vs, 89-00805 Power Securities Corp. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant Jeffrey A. Derosiers alleged that Respondent Power Securities Corp. failed to refund the correct amount to Claimant after Respondent admitted to doing business with Claimant in a state in which the Respondent was not

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David Lashinsky Claimant(s) vs. Mark Williams Respondent(s) NOTICE OF ARBITRATION AWARD 89-00803 CASE SUMMARY Claimant(s) David Lashinsky alleged that Respondent(s) Mark Williams made an error in Claimant's account and refused to pay money due. Respondent(s) denies any wrongdoing with respect to the Claimant's account and that Respondent should no

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wall Street Clearing Co. Claimant(s) vs. Anthony Lisena Respondent(a) NOTICE OP ARBITRATION AWARD 89-00799 CASE SUMMARY Claimant asserts amounts owing from margin call. Respondent did not defend. RELIEF REQUESTED Claimant(s) Wall Street Clearing Co. requested damages of Five Thousand Five Hundred Dollars and No Cents ($5,500.00). AWARD

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Herman and Lyla Demick Claimant(s) vs. AWARD 89-00798 Shearson Lehman Hutton, Inc., Rich Heinrichs and Mark Rockey Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) Herman and Lyla Demick alleged that Respondent(s) Shearson Lehman Hutton, Inc., Rich Heinrichs and Mark Rockey misrepresented material facts as to Claimants' investments

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michelle L. Russell-on behalf of Tammy Russell, Michael Russell and Oavon Russell (all minors) Claimants vs. Alex Brown and Sons, Inc. Respondents AWARD #89-00796 Case Summary In a claim filed with the National Association of Securities Dealers, Inc. on March 10, 1989, Claimant Michelle L. Russell-on behalf of Tammy Russell, Michael Russell and Da

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Elizabeth I. Pascoe ) Claimant ) ) AWARD vs. ) ) NASD #89-00790 PaineWebber, Inc. ) Marc K. Leh ) Respondents ) SUMMARY OP ISSUES Claimant alleged breach of fiduciary duty, misrepresentation, lack of suitability, churning and failure to supervise with respect tc investments in certain limited partnerships, commodities, options, GNMAs a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rick Hamilton, Custodian for Brian J. Hamilton Claimant(s) vs. Securities Settlement Corp. vs. Greentree Securities Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 89-00781 CASE SUMMARY Claimant(s) Rick Hamilton, Custodian for Brian J. Hamilton alleged that Respondent(s) Securities Settlement Corp., the clearing agent for Claimant's Br

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants| Robert Pizzo 89-00777 Name of Respondent's) Shearson Lehman Brothers, Inc. Richard WeUcer SUMMRRY OF TSStlRS This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 9, 1989. Claimant, Robert Pizzo (Pizzo) alleges that Respondent, Richard Welker (Welker), while employed by Respon