NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Grace 0. Meyer Claimant(s) vs. 88-01010 Shearson Lehman Brothers and Wallace Belin Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Grace D. Meyer alleged that Respondent(s) Shearson Lehman Brothers and Wallace Belin caused delays which resulted in substantial financial loss. Respondent(s) deny all Claimant's allegations.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) J.C. Bradford & Company ) ) Claimant ) and ) A W A R D ) 88-01154 Bert L. Frazier ) ) Respondent ) ) CASE SUMMARY In a claim filed with the NASD on April 20, 1988, Claimant J.C. Bradford & Company ("J.C. Bradford") alleged that Respondent Bert Frazier ("Frazier") incurred a margin debit in his securities account which was open

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) SIGA INVESTMENTS CORPORATION, LTD. ) Claimant ) and ) ) CASE NO. 88-01149 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., GILBERT D. CASTANEDA et al. ) Respondents ) ) CASE SUMMARY * SIGA Investments Corp., Ltd. ("Claimant") alleged as follows: 1. Gilbert Castaneda and Peter Gerrity, registered representatives of Merrill Lynch, Pierce

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Dean Witter Reynolds, Inc. Claimant/ ) Award Counter- ) Respondent ) ) NASD #88-01141 vs. ) Mark Neckameyer and Respondents/ Theresa Neckameyer Counter- Claimants SUMMARY OF ISSUES * - . . Claimant Dean Witter Reynolds, Inc. filed this action on April 11, 1988 against Respondents for recovery of a debit balance due and owing and for brea

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ralph & Betsy Woodhouse Trust, Claimant v. Miller & Schroeder Financial, Inc., Joseph K. Halloran, John M. Clarey, Jr., Thomas S. Nelson, James F. Dhgosch, Kenneth E. Dawkins, MI Acquisition Corp., and Mark F. Augusta, Respondents Case Number: 01-03228 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member, Non-Member and Associated Persons REPRESENTATIO

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Dona D. McDonald and Claimants ) Harry E. McDonald ) vs. ) CASE NO. 88-01136 Drexel, Burnham, Lambert, Inc. Respondent ) Heard Before the Members of the Arbitration Panel: Joseph J. Aron SUWARY OF ISSUES This case was filed on July 6, 1988. Claimant Dona D. McDonald purchased from Respondents a $9,000.00 debenture issued by Public Service of New Hamps

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Peter L. Congro Claimant vs. First National Brokerage Services, Inc. Respondent Case #88-01131 Award On April 6, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Peter L. Congro on April 5, 198Vand by Respondent First National Brokerage Services, Inc. on August 11, 1985

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Abraham and Etta Goldbaum TTEES FBO Ruth Goldbaum Claimant(s) vs. 88-01127 Merrill Lynch, Pierce, Fenner and Smith, Inc., John Magneaio and Michael Fix Respondent(3) AWARD The Arbitrator, Janet Weiss, selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitrat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Irvin B. Perry and Patricia A. Claimants ) Perry ) vs. ) AWARD Shearson Lehman Brothers, Inc. Respondents ) CASE NO. 88-01115 and William Brainerd ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 8, 1988. Claimants alleged unsuitability and unauthorized transactions. Specifically, Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dr. Suryaprakash Patel and Rasika S. Patel, Claimants vs. Case #88-01103 Award Shearson Lehman/American Express, Inc. and Henry Thomas, Respondents ) ) CASE SUMMARY Claimants allege that Henry Thomas, the registered representative with Shearson, the Respondent brokerage firm, made false representations to them that Shearson was a sponsor