Award NASD Dispute Resolution, Inc. SEP 17 2002 In the Matter of the Arbitration Between: Name of the Claimant j Dr. Burton Zeiger, as trustee for the South Chicago Eye Associates, Ltd Defined Benefit Plan , Name of the Respondent | Strong Investments, Inc. Case Number: 01-03288 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant, Dr. Burton Zeifeer, as trustee for the South Chicago Eye Associates, Ltd. Defined Ben

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD 188-02001 In the Matter of the Arbitration Between E.F. Hutton, Inc. Claimant VS. Jesus I. and Alicia A. Lizarazo Respondents Case Summary The Claimant seeks $46,239.95 plus interest and costs which sun represents a debit balance in the Respondents account. Respondents seek $250,000.00 in compensatory damages plus interest, attorney fees, costs and $1,000,000.00 consequential and punit

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Helen E. Whitcomb, vs. Smith Barney, Harris Upham & Co., Inc., Claimant, Respondent. Case /88-01999 Award Heard before the members of the Arbitration Panel: Arieh Leo Douer Leonard E. Pacun Richard P. Greene, Esq. CASE SUMMARY This claim was filed with the hearing was conducted on July 7, 1989 a total of two (Z) sessions. NASD, I

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of the Arbitration Among * Hsue Tung * Claimant * vs * Award Vanderbilt Securities, Inc. * 88-01993 and * Paul Carvajal * Respondents CASE SUMMARY In a claim filed by the Claimant on June 21, 1988, Claimant Hsue Tung ("Claimant") alleged the Respondent, Paul Carvajal ("Carvajal") made material misrepresentations to Claimant to induce the Claimant to purchase First Hou

' NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) ) KEN AND GEORGETTE WADULAK ) Claimants ) AWARD v. ) NO. 88-01992 ) LASALLE SECURITIES, INC. and ) SECURITIES SETTLEMENT CORP. ) Respondents ) On Thursday, May 4, 1989, the undersigned arbitrators heard the controversy between the parties' as set forth in submissions to arbitration executed by Claimants' Ken Wadulak and Georgette Wadulak, husband

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Robert N. and Ella S. Ristad Foundation Claimant ) et al. ) Case *88-01990 ) vs. ) Award ) Drexel Burnham Lambert, Inc. & Respondents ) Donald Zepp ) CASE SUMMARY This case was filed on June 20, 1988. Claimants made the following claims: Violation of Securities Exchange Act of 1934 Section 10(b) and Rule lofb)5 of the United States Securitie

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) LEWIS F. AND SUSAN T. BUCKINGHAM ) Claimants ) and ) ) CASE NO. 88-01989 NEWHARD, COOK & CO. AND ) RICHARD LONGSDORF ) Respondents ) CASE SUMMARY Claimants, Lewis F. Buckingham and Susan T. Buckingham ("Buckinghams") alleged that Newhard, Cook & Co. and their representative Richard Longsdorf engaged in the trading of Index Options in the Bucki

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph J. Stronko Claimant(s) vs. 88-01978 Michelin & Co., Inc. J. W. Gant & Assocs., Inc. and Robert Carlin 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 Claimant on June 16, 19

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John H. -and Gloria M. Pollack, JTWROS Claimant(s) vs. 88-01977 Merrill Lynch, Pierce, Fenner & Smith, Inc. and David Wisehaupt. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John H. and Gloria M. Pollack, JTWROS alleged that Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. and David Wisehaupt mishandled Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marilyn Burris Claimant CASE 88-01974 AWARD vs. PaineWebber Jackson & Curtis, Inc. Smith Barney Harris Upham & Co., Inc. Donald Porter Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 20, 1988, Claimant Marilyn Burris alleged Respondents breached the fiduciary duty owed to her and wi