NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lina R. Molliza Claimant(s) vs. NOTICE OF ARBITRATION AWARD 88-00219 Invest Respondent(a) The Arbitrator, Larry J. Dagenhart, Esq., 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 April 4, 2988 and June 13, 1988, respect

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Marsha Brockway, Claimant v. Salomon Smith Barney, Inc. and Robert Steingold, Respondents Case Number: 99-02287 Hearing Site: San Diego. California REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider, Esq. Investors Arbitration Specialists San Diego, California For Respondents: Etta M. Gumbs, Esq. Salomon Smith Barney, Inc. New York, New York CASE INFORMATION

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Frank P. Guagliardo Claimant(s) vs. Dean Witter Reynolds/ Inc. and John Dearing Respondent(s) AWARD 88-00188 The Arbitrator, Larry J. Dagenhart, Esq./ having been 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 January 11,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Andrew W. Eberhart Claimant(s) vs. 88-00161 Broker Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD The Arbitrator, Larry J. Dagenhart Esq., 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 March 7, 1988 and June 10

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between N.L. Cooper Claimant vs. Shearson Lehman Brothers, Inc. D. Elliott Dahle, Jr. Respondents AWARD #88-00138 On October 13 and 14, November 29, December 1, 12 and 13, 1988 and February 2 and 28, March 2, April 24 and 26, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in the submissions to Arbitration signed by Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donna M. Hopley Claimant(s) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) AWARD 88-00116 The Arbitrator, Lucia Edwards, 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 May 11, 1988 and July 11, 1988, resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Larry Fihma Claimant(s) vs. Spencer-tfDisTionr Securities / Seligman Securities, Neil Lipschitz and Bill Meeke1 Respondent(s) NOTICE OF ARBITRATION AWARD 88-00115 CASE SUMMARY Claimant(s) Larry Fihma alleged that Respondent(s) Spencer-Winston Securities, Seligman Securities, Neil Lipschitz and Bill Meckel mismanaged the transfer of Claimant's

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Steven Kraim Claimant(s) ARBITRATION vs. AWARD 88-00098 Marc Chulik and Shearson Lehman Brothers, Inc. Respondent(s) NOTICE OP CASE SUMMARY Claimant (s) Steven Kraim alleged that Respondent(s) Marc Chulik and Shearson Lehman Brothers, Inc. failed to execute a sell order as requested by Claimant. Respondent(s) maintain that Claimant never e

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Blinder, Robinson & Co. Inc. vs. Janaria Kelley Claimant(s) Respondent(s) AWARD 87-02634 The Arbitrator, Delores I. Smith, Esq., having been selected to review and determine a matter in controversy between the above- mentioned Claimant and Respondents; And, that having reviewed and considered the proofs of the parties, has decided and determined that

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nelson A. Goodreau Claimants) vs. 87-01721 MacPeg, Ross, O'Connell & Goldaber, Inc., et al. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Nelson A. Goodreau alleged that Respondents MacPeg, Ross, O'Connell & Goldaber, Inc. et al. did not sell units pursuant to Claimant's order. Respondents maintain that Claimant instructed Re