NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gregory and Julia Agamy Claimant(s) vs. Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00092 CASE SUMMARY Claimant(s) Gregory and Julia Agamy alleged that Respondent(s) Shearson Lehman Hutton, Inc. negligently mishandled Claimants' account held with Respondent. Respondent has not answered Claimants' allegations.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louis S. and llene E. Hyatt Claimant vs. Award Case #90-00088 Merrill Lynch, Pierce, Fenner & Smith, Inc. and Emanual Bobb Respondent CASE SUMMARY Claimants Louis S. and llene E. Hyatt ("Claimants") alleged that Respondent's Merrill Lynch, Pierce, Fenner & Smith, Inc. and Emanuel Bobb made misrepresentations to the Claimants to induce Cl

I I NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert: A. Glamore Claimant vs. Kennedy, Cabot: & Co. Respondents OATH AND AWARD OF ARBITRATOR 90-00087 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: ^ I am not an employer of, employed by or related by blood or marriage to

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Robert J. Nelson v. 01-03115 Minneapolis, Minnesota Respondents Morgan Stanley Dean Witter, Inc. and Jeffrey S. Christians Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Robert J. Nelson ("Claimant") was represented by A. Russell Janklow, Esq., of Johnson Heidepriem Miner & Marlow, Sioux Falls, South Dakota. Morg

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David Pollock Claimant(s) ARBITRATION vs. AWARD 90-00081 Prudential-Bache Securities, Inc. and Mark Tasher Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) David Pollock alleged that Respondent(s) Prudential- Bache Securities, Inc, and Mark Tasher wrongfully charged a redemption fee. Respondent(s) maintain that the Claimant knew, or in the exe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Roger H. Williams 90-00080 Name of Respondent.? s^ Shearson Lehman Hutton, Inc. Stephen Paul Vanier CASK In a claim filed with the NASD on or about January 4, 1990 Roger H. Williams and Katharine E. Williams (collectively "Claimants") alleged that Shearson Lehman Hutton, Inc. and Stephen P. Vanier (collectively "Respondents") were fiduciari

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ' ) Robert M. Cohen, Trustee 90-00084 (Consol. w/ 90-00085) Iddenburg, & Co., Inc. Heard before: Frank R. Smith Michael Strieby T.i.nrta Lee Weber Public /Industry Public Chair Public Industry Claijnants Robert M. Cohen and Edward S. Singer were represented by Richard A. Love, Esq. Respondent Ladenburg, Thalmann

N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen Robert M. Cohen, Trustee 90-00084 (Consol. w/ 90-00085) & Co., Inc. Heard before: Piihl i Frank R. Smith Michael Strieby Linda Lee Weber Public Chair Public Industry Claimants Robert M. Cohen and Edward S. Singer were represented by Richard A. love, Esq. Respondent Ladenburg, Thalmann & Co. Inc. was represented by Gary

WASO Arbitration N.A.S.D. AWARD NATICNAL ASSOCIATION OF SB.UItiTlig DEALERS In the Matter of the Arbitration Between Denis* Hyams, individually Denis* Hyans a0 Executrix under the Will of Margaret Hyans, deceased 90-00077 Name of codent B. Vincent Pater National Association of SceuritlM Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Fbr Claimants: Graham E. "«•**"••, Esq. of Smith, St

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James and Rita Price Claimant(s) vs. Greentree Securities Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00070 CASE SUMMARY Claimant(s) James and Rita Price alleged that Respondent(s) Greentree Securities Corp. misrepresented the investment quality and the return to be received on a security recommended by Respondent. Respondent did not de