NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03266 Josef I. Bahlke, Claimant vs. Thomas A. Ransohoff, Respondent. ATTORNEYS: Claimant, Josef I Bahlke, appeared Pro Sc, Red Bluff, California. For Respondent, Thomas A. Randsohoff, appeared Christopher D. Cavuoti, Esq., Office of General Counsel, Litigation Department, Merrill Lynch, New York, New York. DATE FILED: June 19, 2001 CASli SUMMARY: Claimant alleged that respondent ne

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mike A. Klinglesmith Claimant(s) vs. 90-00355 Dominick and Dominick, Inc. and Wayne W. Ratliff Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Mike A. Klinglesmith alleged that Respondent(s) Dominick and Dominick, Inc. and Wayne W. Ratliff failed to cease option trading in his account when he requested them to do so. Res

N.A.S.D. AWARD NKTICNAL ASSCCIATIQN OF SSCURITIES DEMURS In the Matter of the Arbitration Between Mama of James B. Helmer, Jr. and T & H Breeding Partners 90-00354 Name of Respondents Prudential-Bache Securities Inc. Prudential-Bache Agriculture, Inc. Heard before: Mama Public/Industry Andrew M. Tsmin, Esq. Public Arbitrator Walter Beckjord Public Arbitrator W. Pat Oonnexs Industry Arbitrator Claimants, James Helmer, Jr. and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Mare of Lawrence & Silva Harris 90-00344 MMB of Regponrtentfsl Merrill Lynch, Pierce Farmer & Smith Inc Bateman Eichler,Hili Richards, Inc. This case vies filed with the National Association of Securities Dealers, Inc. ("NASD") on February I, 1990. Claimants Laurence and Silva Harris (Harris) brought this claim against: Respondents Batman,

WUXCMAL ASSOCIATION QF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) 3«tty Hazalbaker ) Claimant. ; ) AWARD va. ) ) HA3D 490-00343 Merrill Lynch Pierce Fanner ) 6 Snlth, inc. and ) Randy schroeder ) Respondents ) Clainaat wen ^presented by Gregg A. Johnson, Esq., of San Qiego California. Respondent Merrill Lynch, Pierce, Fenner & Snith, Inc. «•• r»pr»«»nt«d by Jo»*ph 3. 3chuch«rt, B«q., K**»al, Tounq & L

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Margaret 0. Gaibraith 90-00331 Rondell Eugene Loftin Sidney Earl Richmond Douglas Shivers Gary Wayne Chambers Joseph P. Hill Suzanne Whitf ield Gates Donald Ray Gates Sheri Glover Margaret 0. Gaibraith was represented by Harvey L. Bell, Esq. , of Bell, Bitheiner & Associates, P.A., Little Rock, AR. Rondell Eugene loft in, Sidney

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Dino Sarles ) Georgette Sarles ) Claimants ) ) AWARD vs. ) ) NASD NO. 90-00334 Charles Schwab & Co. ) Respondent ) SUMMARY OF ISSTJFES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 31, 1990. Claimants alleged the unauthorized purchase of 2000 shares of Genen€bctt, stock . Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Betvreen) of Alessandra Nicoloso ) ) Case No. 90-00330 E.F. Button & Company, Inc. Richard Donath Sidney Fein Heard before the matters of the Arbitration Panel: Casey W. Hills, Esq. - Charles H. Brodzki, Esq. Janet C. Zwiebel CASE SUMMARY This claim was filed with the NASD, Inc. on January 31 t 1990. The hearing was conducted in

NATIOHAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Russell Hawley ) Claimant ) ) AWARD vs. ) ) NASD 490-00326 Dean witter Reynolds, Inc. ) Tim Mooney ) Respondents ) ) SUMMARY OP ISSUES Claimant alleged that Respondent Mooney's recommendation of Southland Corporation bonds was unsuitable given his investment objectives and past investment strategies. Claimant further alleged

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sharon Miller and Miriam Parker, Claimants Shearson Lehman Button, Inc. and Richard Schwartz, vs, Robert Johnson, Respondents Third Party Respondent x x • X X x CASE NO. x 90-00325 x x AWARD x x X X X X X CASE SUMMARY Claimants, Sharon Miller and Miriam Parker (collectively, "Claimants"), a