NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Christopher A. Hogan Claimant(s) vs. 89-00148 Jeffrey Lieungh and Gulfstream Financial Association, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Christopher A. Hogan alleged that Respondents Jeffrey Lieungh and Gulfstream Financial Association, Inc. made several unauthorized transactions resulting in a loss of $4,695.70

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Adrian M. Bianconi Claimant(s) vs. 89-00143 Capital First Securities Respondent(s} NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Adrian M. Bianconi alleged that Respondent(s) Capital First Securities mishandled Claimant's account held with Respondent. Respondent(s) has not responded to Claimant'a allegations. RELIEF REQUESTED Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maurine H. Pennington 89-00142 O ; C? NamBofRgsDQnQtentls,! ' "^ f_jr* ' ^_ Merrill Lynch, Pierce, Fenner & Smith " " ~ ""* Nicholas F. Stafford In a claim filed with the NASD on or about January 23, 1989, Maurine Pennington ("Claimant") alleged that Merrill Lynch, Pierce, Fenner & Smith, Inc. and Nicholas Stafford ("Respondents"): recc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Richard P. & Joannee M. Steubinger Claimant(s) vs. 89-00136 Blinder, Robinson & Co., Inc. and Debra McGuire Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Richard P. & Joannee M. Steubinger alleged that Respondent (s) Blinder, Robinson & Co., Inc. and Dsbra McGuire made gross misrepresentations concerning stock purchases. R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Norma Shaw 89-00131 Nans of Rogporyto Dean Witter Reynolds/ Inc. Donald Azvid Peterson Alfred L. Caliendo Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Mr. Harry Polansky Mr. Stanley Jaf fee CASE SUMMARY This claim was filed with the NASD, Inc. on January 23, 1989. The hearing was conducted in Fort La

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) STANLEY L. SCHMIDT, ) Claimant, ) ) Case /89-00120 vs. ) Award F. D. RC3ZFTS, INC., LEONARD TUCKER, ) DEAN VERNOIA and JERRY JUDKOWITZ, ) Respondents. ) Heard before the Arbitrator: Marilyn 3. Cane, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on January 12, 1989. The hearing was conducted in Fort Lauderdale, Florida on April 27,

NASD Dispute Resolution, Inc. Arbitration No. 99-02547 consolidated with 99-02548 Award Page 2 of 5 CASE SUMMARY Claimants asserted the following causes of action: Breach of Contract, Failure to Pay Commissions, and Violation of the Illinois Wage Actions Act. The causes of action relate to respective voluntary terminations of each of the Claimants, Unless specifically admitted in its Answer, Respondent denied the allegations made in the Statement of Cla

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-01011 David J. Froode and Dianne J. Froode JTTEN, Claimants vs. TD Waterhouse Investor Services, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, through David J. Froode, West Linn, OR. For Respondent appeared Janis Campanella, Esq., Assistant Counsel, Waterhouse Securities, Inc., New York, NY. DATE FILED: March 7, 2000 CASE SUMMARY: Claimant alleged that after he placed

NATJONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Karen Davis and Randi Watson JTTEN Claimant(s) vs. 89-00119 A.F. Green & Co., Inc. and Mark Stern Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Karen Davis and Randi Watson JTTEN alleged that Respondent(s) A.F. Green & Co., Inc. and Mark Stern misrepresented to Claimants material facts with respect to Claimant's investment

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James and Kay Moustakis Claimant(s) vs 89-00117 Merrill Lynch Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimants James and Kay Moustakis alleged that Respondent Merrill Lynch Pierce, Fenner & Smith, Inc. negligently mishandled Claimants account held with Respondent. Respondent denies Claimants allegat