N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tne Arbitration Name cf Claimant Richard W. Rees No. 90-00228 Name of Respondent Linda Ross RBPRBSBBri'ATJLUN OF PARTIES For Claimants: Jeff Rees appeared on behalf of Richard Rees. For Respondents: Linda Ross appeared pro se. CASH INFORMATION Statement of Claim filed: January 19, 1990. Claimant's Submission Agreement signed on: January 16, 1990. Statement

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Prank W. Pedarico, Victoria J. Boot and Vita M. Wilkins, Trustees of the Wilraa Trust 90-00227 James Greenbaum Haazd before: Mams Public/Industry Julien P. Begien, Esq. Public Arbitrator Claimant was represented by Daniel P. Gibson, Esq. of Gibson and Behman in Burlington, Massachusetts. Respondent James Greenbaum was pro se. This claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Sidney S. and Milica S. Chernick Claimant(s) vs. Stuart James Co. Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00223 CASE SUMMARY Claimant(s) Sidney S. and Milica S. Chernick alleged that Respondent(s) Stuart James Co. Inc. denied Claimants the ability to cancel a sale which was executed by Respondent in order to correct an error made by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Richard W. Marr Judy Marr Phvllis G. Marr Family Trust NASD Arbitration No. 90-00315 Name of Respondents Smith Barney Harris Upham & Co. Inc. Robert Reynolds Edward D. Jones & Co. Clinton H. Bellows REPRESENTATION For Claimants: Jerome E. LaBarre, Esq. - LaBarre & Associates, P.C. - Portland Oregon Fo

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Carl M. Hoffman Claimant(s) vs. F.N. Wolf & Co., Inc. Respondent(s) NOTICE OP ARBITRATION AWARD 90-00312 CASE SUMMARY Claimant(s) Carl M. Hoffman alleged that Respondent(s) F.N. Wolf & Co., Inc. fraudulently induced him to buy stock in a worthless shell company. Respondent asserted that it was unaware of fraudulent conduct by its employees and

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC!. Roland C. Booma Claimant vs. Case #90-00311 Award Prudential-Bache Securities, Inc. and William L. Cox Respondents CASE SUMMARY Claimant, Roland C. Booma ("Booma"), alleged Respondents, Prudential-Bache Securities, Inc. ("PBS") and William L. Cox ("Cox"), assigned Avon call options and sold Avon shares without authorization, engaged in unauthorized trading to cover the position, made

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anne Gallas 90-00301 Name of Respondents si M.L. Stern & Co., inc. Michael Felsenf eld SHERRY CF TSSHES This case was filed with the National Association of Securities Dealers, inc. ("NASD") on March 6, 1990. Claimant Anne Gallas alleges that, in response to an advertisement, she contacted Respondent M. L. Stern and Co. Inc. and purchased $

Arbitration N.A.S.D. AWARD ,, . . A . . . National Association of Securities Dealers. Inc. -Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS Three First National Plaza Chicago, IL 60602 (312) 899-4440 In the Matter of the Arbitration Between Name of Claimants s| Jon A & Susan E. Brunsvold 90-00300 Name of R.J. Steichen & Company Charles E. Purdy Gwendolyn Gayle Purdy CftSE SMIRRY In a claim filed with the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Wilbur and Altheda Williams Claimants vs. E.F. Hutton & Co., Inc., Shearson Lehman Mutton , Inc., and Richard L. Fisher Respondents X X X X X X X X X X X CASE NO. 90-00296 AWARD CASE SUMMARY Claimants, Wilbur and Altheda Williams (hereinafter, "Claimants"), alleged that Respondent Richard L. Fisher

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nare of Sho Kou and Li Yang CASE #90-00294 Name of RRfifiOP^ 0 "*"' a ^ Stuart James Company, Inc. Joseph Ciccone Heard before the members of the Arbitration Panel: Name Public/Industry Robert Herschmann, Esq. Public Sterling F. Tremayne Public Leslie Bishop Industry This matter was initiated by a Statement of Claim