JkSSOCXKFICtT OF N.A.S.D. AWARD TSK In the Hatter of the Arbitration, Between Arbitration National Aatodatlon of SacurMaaOaalara.lfiG. NASD financial Cantar 33 Whitehall Strwt New York, Naw York 1000) Fata 91-01458 Marrill Lynch Pi Barry L. Hackatt & SBdth IDC Poo: GlainHnt: Qulnto Fa.ta repreaenterl For flfoprrrtofitni EUzabctb Inc. Amatixug, Baq. of Mexrill Lynch Pierce Statanaat of Claim filedi May 9, 1991.

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS - In the Matter of the Arbitration Between ) ) Name of Sara Yonis ) ) ) Case No. 91-00609 Donaldson Lufkin & jenrette Securities ) James Mestl ) Heard before the mspj-ars of the ArbitrationTanel: Robert Herschnann/ Esq. Public Terrence W. Grant Industry James E. Morrison Public Claimant, Sara Yonis {"Yonis"), was represented by Michael R. Casey, Esq. of Casey & Molchan

NATIONAL ASSOCIATION OF-SECURITIES DEALERS. INC. In the Matter of the Arbitration Between : Nancy Richardson : Claimant : i CASE J91-00521 VB. t AWARD Mutual Service Corp. : Xemper Financial Services, Inc. : s Respondents t CASE SUMMARY Nancy Richardson, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on February 15, 1991, alleged that Respondents failed to put her IRA funds into' the Kemper Bon

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PUBLIC Donald & Ilene B. Raphael Claimants CASB #91-00323 vs. AWARD • Richard McGuire Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 30, 1991, Claimants, Donald & Ilene B. Raphael, who appeared Pro Se, alleged that on January 31, 1989, Respondent, Richard McGuire, a registered repres

N.A.S.D. AWAHD NKETCNAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Mazy v. Roberts Marica Bleakley Jtorgaret Petrie Parrino 91-00255 Hame of Respondent (s) John T. MoCue First Investors Corporation For Claimants: Sanuel F. Abernetby, Esq. of Menaker & Heiiimnn in New York City. For Respondents: Glenn R. Reichardt, Esq. of KirJqpatrlck & Lockaart in Washington, D.C. Statement of naia filed: Janu

N.A.5.0. AWRRD NftTIONKL ASSOCIATION OF SECURITIES DEALERS In^the Matter of the Arbitration Between John K. Brigden, Trustee for John K. Brigden 1978 Revocable Trust Dated 2/3/78 NASD #90-02977 of Prudential-Bache Securities , Inc. For Claimant: David N. Mahler, Mahler & Associates, Newport Beach, California. For Respondent: Stephen Young, Esq., Keesal Young & Logan, long Beach, California. Statement of Claim filed: October 23, 1990

Arbitration N.A.S.D. AWARD NftTICNRL ASSOCIATICN OF >«alipi-i-TBS DEALERS In the Matter of the Arbitration Between Mama of Claimant jo-Anne Chasnow vs. National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 Case # 90-02573 Shearson Lehman Brothers, Inc. Alexander Aras For Claimant: Jamas H. Porte, Eaq. of Saiber Schlesinger Satz & Goldstein.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Arthur S. & Micheline M. Caron JTWFOS 90-01747 Mama of First Swiss International Securities, Inc. Robert Thomas Beatty Richard L. Cohen John S. Anfuso John Edward Malesko Jack Lubitz Eric S. Finkel Robert Baran Stephen W. Schwartz Wedbush Morgan Securities, Inc. Heard before: Michael J. Shalley, Esq. Public Arbitrator

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Gloria P. Moralez ) Claimant } ) AWARD vs. ) ) NASD #90-00907 Shearson Lehman Hutton, Inc. ) George Jadoon ) Gary C. Overstreet ) Respondents ) SUMMARY OF ISSUES Claimant alleged unauthorized trading in options, failure to disclose the risks of options trading, failure to execute a purchase order in a timely manner, churning, and failu

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02246 Charles Schwab & Co., Inc. claimant vs. Shahrouz Malekpour & Fedra Malekpour, respondents. ATTORNEYS; For Claimant Charles Schwab & Co., Inc., ("Claimant"), Mauricio S. Beugelmans, Esq. of Charles Schwab & Co., Inc. San Francisco, CA. Respondents Shahrouz Malekpour and Fedra Malekpour (collectively, "Respondent' f ),did not respond to. Claimant's