NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Elodie E. Golden, Trustee Claimant(s) vs. 89-00082 Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Elodie E. Golden, Trustee alleged that Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. sold unsuitable investments to Claimant. Respondent(s) denies Claimant's allegations.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between INTEGRATED RESOURCES EQUITY CORP., Claimant, vs. Case 189-00080 Award HENRY F. SIMMS and ELINOR SIMMS, Respondents. Heard before the members of the Arbitration Panel: Leonard H. Davidson, Esq. Judy Avey Leslie Bishop CASE SUMMARY This claim was filed with the NASD, Inc. on January 10, 1989. The hearing was conducted in Fort Lauderdale, F

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Mary Ann Ervin, Trustee ) Claimant(s) ) and ) CASE NO. 89-00078 Shearson Lehman Mutton, Inc. ) Respondent(s) CASE SUMMARY In a claim filed with the NASD on or about January 13, 1989, Mary Ann Ervin, Trustee ("Claimant") alleged that Shearson Lehman Hutton, Inc. ("Respondent") failed to sell and liquidate the assets held by Respondent in an accoun

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward J. O'Leary, Jr. Claimant(s) vs. First Affiliated Securities, Inc. vs. Bennie Yount Respondent(s) NOTICE OP ARBITRATION AWARD 89-00075 CASE SUMMARY Claimant(s) Edward J. O'Leary, Jr. alleged that Respondent(s) First Affiliated Securities, Inc. made unauthorized transactions. Respondent(s) maintain that Claimant produced no evidence of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Allan R. Koretz, individually and d/b/a Rags Investors and as custodian for Robert A. Koretz, Richard J. Koretz and Ronald W. Koretz; Riverside No. 5 Partners; and Riverside No. 10 Partners 89-00069 Merrill Lynch, Pierce, Fenner & Smith, Inc Merrill Lynch Money Markets, Inc. and Merrill Lynch and Co. Claimants were represented by Stuart

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James A. LaBelle, as Custodian for Lisa Rae LaBelle and Kelly Ann LaBelle Claimant(s) vs. AWARD 89-00065 Dean Witter Reynolds, Inc. and Jonathan Neal Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) James A. LaBelle, as Custodian for Lisa Rae LaBelle and Kelly Ann LaBelle alleged that Respondent(s) Dean Witter Reynolds, Inc. an

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Estate of Kurt Strassler, Deceased bv Marta Strassler, Administratrix Claimant vs. AWARD *89-00062 Blinder, Robinson & Co., Inc. Respondent Case Summary Claimant alleged that Respondent churned the Claimant's account and invested the Claimant's monies in unsuitable and worthless securities that incurred a loss in Claimant's account. Respondent maintai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) DONALD L. CLARK ) Claimant ) and ) ) CASE NO. 89-00061 SUMMIT INVESTMENT CORP. and ) PHILLIP T. HUSS ) Resposdents ) CASE SUMMARY Donald L. Clark ("Claimant") alleged that Summit Investment Corporation ("Respondent Summit") and Phillip Huss ("Respondent Huss") made misrepresentations attendant to the investment in Tri Coast Environmental an

NATIONAL ASSOCIATION OF SECURITIES DEALERS In tlie Matter of the Arbitration Between Steven A. Eiseman vs. Claimant Bailey Martin & Appel, Inc. Respondent AWARD #89-00052 Case Summary Claimant contends that Respondent misrepresented the price which he would receive in connection with a sale of stock. Respondent contends the order was executed in accordance with instructions and in compliance with the NASD's 5% markdown rules. Rel

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants A. Wayne McLaughlin & Dorothy McLaughlin JTWROS A. Wayne McLaughlin Wayne McLaughlin & Carolyn G. McLaughlin JTWROS A. Wayne McLaughlin SEP IRA Dorothy McLaughlin Wayne McLaughlin, Allen Wayne McLaughlin, II, John Cody McLaughlin & James Carol G. McLaughlin JTWROS Case No. 99-02545 Names of Respondents Axiom Capital Management,