NATIONAL ASSOCIATION OF SECURITIES DEALERS In. the Matter of the Arbitration Between Suzanne Slade Claimant(s) vs. Thomas Vincent Ackerly, Troy P. Westover, and Michael Kaye Respondent(s) NOTICE OF ARBITRATION AWARD 90-00375 CASE SUMMARY Claimant (s) Suzanne Slade alleged that Respondent (s) Thomas Vincent Ackerly, Troy P. Westover, and Michael Kaye misrepresented material facts as to Claimant's investment with Respondents. R

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Neal Stevens tte F. Ruth Hulland Trust Claimant(s) vs. 90-00374 Kemper Technology Fund Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Neal Stevens tte F. Ruth Hulland Trust alleged that Respondent(s) Kemper Technology Fund failed to transfer 7,960.174 shares to Florence Ruth Hulland Living Trust and instead sold the sha

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Aegis Partners, ) William King Investment Partners ) and William J. King & Co., } Claimants ) ) AWARD vs. ) ) NASD #90-00367 Boarwalk Capital Corp., ) Mason A. Dinehart, ) Dana Joseph Welch, ) and Robert Broad ) Respondent ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD")

Arbitration 3 N.A.a.U. AWAKU NATIONAL ASSCCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of nainvmt-fp] ) ) Michael Kleitz ) Huberman Securities Corp. Michael Huberman National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Case No. 90-00365 Heard before the members of the Arbitration Panel: Henry Sanchez,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Allen W. Zahn and Donald A. Zahn Claimant(s) vs. Oppenheimer & Co., Inc. Respondent(s) NOTICE OP ARBITRATION AWARD 90-00360 CASE SUMMARY Claimant (s) Allen W. Zahn and Donald A. Zahn alleged that Respondent(s) Oppenheimer & Co. , inc. owes Claimant for amount left in account when it was closed by Respondent. Respondent has not answered the

Arbitration N.A.S.D. AWRRD National Association of Securities Dealers, Inc. NATICNAL ASSOCIATION OP amui'ms DERLERS 33 New York. N.Y. 10004 In the Matter of the Arbitration Between FAX (21 2) 858-4389 Name Of W. Jeffrey Walker, Executor for the Estate of Harry D. Coryell Roger L. Coryell Nancy S. Coryell Charles H. Rodgers Frances M. Badgers 90-00439 (consolidated with 90-00440) Stanley J. Lazusky Jr. Legg Mason Wood Walter, Inco

Arbitration N.A.S.D. AWARD National Association of Securities Dealers, Inc. NKTXCNftL ASSOCIATION OP aUflHTUg DEALERS _____ New York. N.Y. 1 0004 In the Matter of the Arbitration Between. FAX (21 2) 858-4389 of W. Jeffrey Walker, Executor for the Estate of Harry D. Coryell Roger L. Coryell Nancy S. Coryell Charles H. Rodgers Frances M. Rodgers 90-00439 consolidated with 90-00440) Stanley J. Lazusky Jr. Legg Mason Wood Walter, Inc

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name gf Claimant.^) Whiskey River Company and Barney Jef fcoats Prudential-Bache Securities Inc. Prudential-Bache Agriculture, Inc. In Statements of claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about February 2, 1990, by Whiskey River Company and on or about February 12, 1990 by Barney Jef fcoats ("Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Napis of Cla J ijiHnt: (s \ Whiskey River Company and Barney Jeffcoats " ——^._._ 9 0~*' 0 0357 "^onsalidated with Nans cf RespondentfsL Prudential-Bache Securities Inc. Prudential-Bache Agriculture, Inc. In Statements of claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about February 2, 1990, by W

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between John J. Bruaatl 90-00356 Seidner Securities David M. Seidner GP issoes This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 26, 1990. Claimant John J. Brusati (Brusati) alleges that ha purchased 1,000 shares of an unlisted ajcumi stock through Respondent David M. Seidner's broker/dealership becau