NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Eugene Michael Streckfus TTEE Claimant vs. IDS Financial Services Respondent Case #90-03450 AWARD CASE SUMMARY Eugene Michael Streckfus, TTEE» in- a claim filed with the National Association of Securities Dealers, Inc. on December 6, 1990, alleged that Respondent failed to timely transfer funds from his deceased Mother's IDS Tax Exempt Fund as o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between frtgme of Claimant- -^ — Frank Amato_ 90-03445 Otra Clearing, Inc. J.F. Lowe & Company KKfHKS-KNTATUgl For Claimant: Don Plaus was designated by the Claimant at the hearing as his representative. For Respondent Otra Clearing, Inc. ("Otra"): Scott Jtonson, Esq., in house counsel. For Respondent J. F. Lowe & Co. ("Lowe"}: no attor

Arbitration N.A.S.D. AWARD NKTICNMi ASSOCiaHQT OF SEGDRITTES DEALERS In the Matter of the Arbitration Between its James W. Beshaw Michelle Beshaw vs. Kidder, Peabody & Co. , Incorporated Henry H. National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New Ybrfc. N.Y. 10004 FAX (212) 853-4389 Cue # 90-03442 For Claimant: C!afr r r je Dresser, Esq. and Bourgeois

N.A.S.D. AWARD NATICNRL ASSOCIAIXOJ OF SECURITIES DEALERS la the Matter of tbs Arbitration Between Robert H. O'Connor Patricia O'Connor vs. 90-03437 Robert Crosby Wedbusn Morgan. Securities, Inc. Far Claimant: Michael L. Paula and Brian Lowe, Investors Arbitration Services, Inc., For Respondent Robert Crosby: Joba Bannsy, Esq., Law Office of Aon A. Aaderscn, Woodland Hills, , For Respondent Vtadbush Mea-gau Securities, Inc.: Leslie M

Arbitration .*> N.A.S.D. AWARD NRTXCNAL ASSOCIATION OF SECURITIES DEALERS" In the Matter of the Arbitration Between Name of Mark D. Schwartz NanjeofRespcodeiits Prudential Securities Inc John C. (Hidden Gerald P. MnBride Steokaa Olsen 90-03435 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street Mew York. N.Y. 10004 FAX (212) 858-4389 For Mark D. Schwartz ("Claimant"): David A

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Ronald and Elaine Rieley vs. Case No. 99-02222 Name of Respondents Wheat First Securities., Inc. David C. Holdsworth REPRESENTATION OF PARTIES Claimants, Ronald and Elaine Rieley, hereinafter collectively referred to as "Claimants": Robert E. Sharkey, Esq., Gordon, Feinblatt, Rothman and Hoffberger, Baltimore, Maryland Respondents, Wheat First

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Philip Kaplan 90-03427 Name of Respondents Royce Park Investments, Inc. David DeWind REPRESENTATION For Claimant: Donald L. Summer, Esq. a sole practitioner. For Respondent, David DeWind: Timothy J. O'Connor, Esq. of Ainsworth Sullivan. Respondent, Royce Park Investments, Inc. did not appear at the hearing. CASE INFORM

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Julius Kahn Claimant vs. CASE AWARD Shearson Lehman Brothers, Inc. Respondent CASE *90-03426 CASE SUMMARY Julius Kahn, in a claim filed with the National Association of Securities Dealers, Inc. on December 5, 1990, alleged that Respondent Shearson Lehman Brothers, Inc. through their Financial Consultant, Victor Elkind, made unauthorized sales of

N.A.S.D. 3HARD NATIONAL ASSCCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ Claude and JoBeth Sharpensteen . Of rectwrres Oii'-tfw. me. AU619199I ;ii ARBITRATION-CHICAGO 90-03420 Boucher, Oehmke & Company Bryce Boucher Donald Oehnke Claimants Claude and JoBeth Sharpensteen were represented by Michael Salcido, Esq. of Burch & Cracchiolo, P.A., Phoenix, Arizona. CBSB ljmjgiBrrj

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; * Oppenheimer & Co., Inc. ; • i Claimant ; ; CASE #90-03419 vs. ; AWARD • James R. McClung ; r Respondent ; CASE SUMMARY Claimant, Oppenheimer & Co., Inc. Garden City, NY by and through its outside counsel, Wexler & Burkhart, PC, in a claim filed with the National Association of Securities Dealers, Inc. on December 4, 1990, all