Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Richard Dawson Case No, 99-02347 Names of Respondents Foster Jeffries Securities, LLC Brian Christopher Burke Thomas Salvatore Marinovich, Jr. Justin James Fiore Steven Lee Karno George Michael Greco, Jr. Michael S. Weiner Kevin Charles Held Thomas M. Allegra George Michael Greco, Sr, Edward Richard O'Brien UCH, Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Howard A. Van En CUimant(s) ) vs. ) CASE NO. 88-02545 ) Kennedy, Cabot & Co., Inc. Respondent(s) ) Heard Before the Arbitration Panel: Thomas E. Higgins SUMMARY OF ISSUES Los Angeles, California - Century Plaza Hotel One Session - May 18, 1989 Claimant alleges that Kennedy, Cabot & Co., Inc. sold out two positions in his account without his

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Barbara Goldstein Claimant ) vs. ) CASE NO. 88-02649 Merrill Lynch, Pierce, Fenner Respondents ) & Smith, Inc. and Burton J. Rosen ) Heard Before the Members of the Arbitration Panel: Sheldon M. Jaffe, Esq. Ian C. Sitren John B. Wells SUWARY OF ISSUES This case was filed on August 19, 1988. On August 5, 1987, Claimant Barbara Goldstein delivered t

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Julia Lacy Claimant(s) vs. Texas Independent Securities Respondent(s) AWARD 88-02645 The Arbitrator, Richard C. Moenning, selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on August 15, 1988 and October 6, 1988, respectively;

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Haines Claimant(s) vs. Greentree Securities, Inc., Formerly Brooks, Weinger, Robbins & Leeds Respondent(s) NOTICE OF ARBITRATION AWARD 88-02543 CASE SUMMARY Claimant(s) Robert Haines alleged that Respondent(s) Greentree Securities, Inc., Formerly Brooks, Weinger, Robbins & Leeds pressured Claimant to purchase stocks he did not want to p

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Neil Ian Feinberg Claimant{s) vs. NOTICE OF ARBITRATION AWARD 88-02642 Evans & Co. Respondent(s) CASE SUMMARY Claimant(s) Neil Ian Feinberg alleged that Respondent(s) Evans & Co. was negligent in handling Claimant's account. Respondent(s) denies all allegations. AWARD Pursuant to Section 13 of the NASD, Inc. Code of Arbitration Procedure (

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Thomas G. O'Connell vs. Shearson Lehman Hutton, Inc. and Ronald Smith Claimant Respondents AWARD CASE #88-02640 SUMMARY OF ISSUES This case was filed on August 18, 1988. Claimant, Thomas G. O'Connell alleges that Respondents, Shearson Lehman Hutton, Inc. and Ronald Smith engaged in a series of speculative investments in common stocks that were inappropriate in light of Claimant's i

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Alexander Pavliv Claimant(s) vs. 88-02637 Monmouth Investment, Inc. Respondent(s) AWARD The Arbitrator, Anne Cugliani, selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on August 15, 1988 and February 21, 1989, respectively;

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rosemary Alexander Claimant(s) vs. 88-02634 Raymond James & Associates, Inc., & Earl Spytek Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Rosemary Alexander alleged that Respondents Raymond James & Associates, Inc., and Earl Spytek seeks recession and return of her $20,000 investment based upon alleged misrepresentation of the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Claire Walter vs. Claimant Merrill Lynch Pierce Fenner & Smith, Inc. Donald J. Kelly Respondents CASE #88-02633 AWARD CASE SUMMARY Claimant Claire Walter ("Walter") alleges that Respondent Donald J. Kelly ("Kelly") failed to timely execute the sale of specific mutual funds in her account after Walter had repeatedly requested Kelly to do so. Walt