N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ~In the Matter of the Arbitration Between Name pf_£laiiignti(s) Eddie B. Scoggin; Robert A. Neilson; John Newman; Mitchell C. Massey M.D., A Professional Medical Corporation and Washington Parish Radiology, Inc. Profit Sharing Plan of Reanondentf s\ Legg Mason Wood Walker C. Peck Hayne 90-01566 (consolidated with 90-00960,90-00962 and 90-00764) For Claimants: Eddie

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Pia Pines vs. Arbitration Between Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc., and Norman Rockoff Respondents X X X X x CASE NO. x 90-01134 X x AWARD x X X CASE SUMMARY Claimant, Pia Pines ("Pines"), alleged that Respondent Norman Rockoff ("Rockoff") recommended that she invest in limited partnerships which were tota

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of the Arbitration Between ) Jean McNabb Claimant ) ) AWARD vs. ) ) NASD f 90-01132 Shearson Lehman Hutton ) and Dennis Schwary Respondents } OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 20, 1990. Claimant alleged that Respondents breached their fiduciary duty in recommending securities that were not suitable to

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Shearson Lehman Hutton, Inc. x Claimant x . x CASE NO. vs. x 90-00835 x Burton Block x AHARD x Respondent x ' CASE SUMMARY Claimant, Shearson Lehman Button, Inc. ("Shearson"), alleged that as a result of the market decline on October 19, 1987, it liquidated the securities account of the Respondent, Burton Block (•Block*), in acco

V xi NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kenneth P. Mayhew, Jr. Claimant(s) vs. 90-01445 J.F. Lowe & Co., Inc. and Otra Clearing Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Kenneth P. Mayhew, Jr. alleged that Respondent(s) J.F. Lowe & Co., Inc. and Otra Clearing as clearing agent executed an unauthorized trade in Claimant's account. Respondent(s) d

ORIGINAL Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daniel W. Powers, Claimant v. Morgan Stanley Dean Witter, William Jenkins and Marvin Baker, Respondents CasR Number 01 -02313 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant; Irwin Stem Richard Sacks Novato, California For Respondents Morgan Stanley Dean Witter and WDBam Jenkins: Wendy R. Robinson, Esq. Morgan Stanley DW In

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Olde Discount Corporation, Claimant v. United Overland Trust & Bancorp and Homer T. Langrill, Respondents Case Number: 99-02321 Hearing Site: Not Applicable REPRESENTATION OF PARTIES For Claimant: Kurt M. Miller, Esq. H&R Block Financial Advisors, Inc. Detroit, Michigan For Respondents: Homer T. Langrill Henderson, Nevada CASE INFORMATION Statement of Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ROBERT J. WIDER, Claimant, vs. SMITH BARNEY, HARRIS UPHAM & CO., INC. and DANIEL C. STEWART, Respondents. Case 188-03667 Award Heard before the members of the Arbitration Panel: Joseph L. Caruncho, Esq. Eduardo J. Palacio, Esq. Mr. Robert Gelfand CASE SUMMARY This claim was filed with the NASD, Inc. on November 25, 1988. The hearing

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joan Facella and Josephine Facella Claimant(s) vs. 88-03666 Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant asserts Respondent negligently misrepresented current value of stock on monthly statements for ten months, preventing her from taking profit or cutting loss. Respondent defends,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ARTHUR and MARY ROEDER, ) Claimants, ) ) Case #88-03660 vs. ) Award DEAN WITTER REYNOLDS $, CO., INC., ) Respondent. ) Heard before the members of the Arbitration Panel: Mark Perry, Esq. Mr. Douglas Delanoy, Jr. Stephen A. LeClair. Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on November 23, 1988. The hearing was conducted in