NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ANDREW J. BERGER, vs. THE OHIO COMPANY and STEVEN GILBERT, Claimant, Respondents, Case #87-01883 Award Heard before the member of the Arbitration Panel: Hr. Roger C. Benson CASE SUMMARY This claim was filed with the NASD, Inc. on September 5. 1987. The hearing was conducted in Tampa, Florida on December 11, 1989 with a total of one session.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Robert J. Conine, ) Claimant, ) ) Case #87-01879 vs. ) Award ) Graystone Nash, Inc., Brady Neeld, ) Donald Eubanks and Cutwater & Veils, Inc. ) ) Respondents. ) Heard before the members of the Arbitration Panel: George Felos. Esq. Mr. Theodore F. Chive Mr. A. Grant Bohl CASE SUMMARY This claim was filed with the NASD, Inc. on

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Holly Ruth Nachbar vs. Claimant / ) Case #87-01874 Award Fidelity Brokerage Services, Inc. Respondent The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in submissions to arbitration signed by the parties on December 8, 1987 and February 17

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Carl Berlow & Norma Berlow Claimants vs. PaineWebber, Inc. Rotan Mosle, Inc. Jonathan Mirer Respondents AWARD #87-01861 Case Summary This proceeding was commenced by the Claimants to recover damages from the Respondents arising from the purchase of the common shares of Nationwide Power ("Nationwide"), an over-the-counter security. The Claimants al

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-02508 Alan Wynroth and Jean Reynolds Wynroth, claimants vs. Arthur Lewis and CIBC Oppenheimer, respondents. ATTORNEYS: Claimants appeared Pro Se through Alan Wynroth, New York, NY. For Respondents appeared Peter M. Spett, Esq., in-house counsel, New York, NY. DATE FILED: May 14, 2001 CASE SUMMARY: Claimants alleged that respondents failed to advise them that their long- time bro

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between ) Vander Pearson ) & Debra J. Pearson, JT TEN ) & Raymond Ward ) Claimants ) vs. ) Walter V. Johnson ) NASD No. 87-01845 & Dean Witter Reynolds, Inc. ) Respondents ) SUMMARY OF ISSUES This case was originally filed with the National Association of Securities Dealers, Inc. ("NASD"), on September 30, 1987; Claimants amended their claim on March 31,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among ) Ronald O'Agnessa, ) Claimant ) Case #87-01822 vs. ) Award ) Douglas Bremen & Co., Inc., ) ) Respondent/ ) Third-Party Claimant ) vs. ) Brian Higgins, ) Third-Party Respondent ) CASE SUMMARY Claimant alleges that his broker, Brian Higgins, fraudulently induced him to purchase $15,674.50 worth of Maxaxam, a speculative stock, and state

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter.of the Arbitration Between ) Linda Phillips, ) Claimant, ) ) Case 187-01807 vs. ) Award Donald Stoghill and ) Colin J. Breen, ) Respondent. ) Heard before the members of the Arbitration Panel: John P. Byram Jackson L. Morris Regar Mickler CASE SUMMARY This claim was filed with the NASD, Inc. on March 3, 1988. The hearing was conducted in Tampa, Florida, with a tot

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ' ) EDITH SKLAR, SOL SKLAR, CELESTE ) WEITZ and DELILAH NEUMAN, ) Claimants, ) ) Case #87-01787 vs . ) Award ) SHEARSON LEHMAN BROTHERS, INC. ) and MARLAN M. HERMAN, ) Respondents . ) Heard before the members of the Arbitration Panel: Arieh Leo Douer Daniel Goodrum Terrence W. Grant CASE SUMMARY This claim was filed with the NA

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) OSCAR A. & MARION B. CARLSON Claimant(s) v. HEINER & STOCK, INC. AND GEORGE J. WASSON CASE NO. 87-01782 AWARD Respondent(s) JOAN KAY STOCK v. Third Party Respondent CASE SUMMARY Oscar A. and Marion B. Carlson ("Claimants") alleged that George T. Wasson ("Wasson") registered representative of Heiner & Stock, Inc. ("Heiner") (Hasson a