NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-03105 AWARD In the Matter of the Arbitration Between Sutro & Co., Inc. Claimant vs. Dave Lond Respondent CASE SUMMARY Sutro & Co., Inc., in a claim filed with the National Association of Securities Dealers, Inc. on November 2, 1990, alleged that Respondent Dave Lond has failed to repay a debit balance in his customer account. Respondent, Dave Lond, maintained that the debi

Arbitration National Association of N.A.S.D. A*™* 0 Securities Dealers. Inc. NASD Financial Center NATICNAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street New York. N.Y. 10004 In the Matter of the Arbitration Between FAX (212)858-4389 Name nf naimnf-g Estate of T^vfTiag stanbaugh by T. William Stembaugh 90-03103 PUBLIC Name of flhBarsaa T-oTmnttn Brothers, Inc. Daniel C. Lucas For Claimants Estate of Thomas Stembaugh b

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between AC Gardner And Johnnie L. Gardner Claimants, #90-03079 and Dean Witter Reynolds, Inc. And James S. Stanley Respondents REPRESENTATION OF PARTIES Claimants, AC and Johnnie L. Gardner, were represented by Kieran D. Maye, JR, esq., and Ronald L. Matlock, esq. Claimant Johnnie L, Gardner was not present. Respondents, Dean Witter Rey

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Oppenheimer & Co., Inc. No. 90-03074 Name of Respondents American Glass Industries, Inc. Robert Lewandowski REPRESENTATION OP PARTIES For Claimant: Joseph F. Keenan, Esq. of Bochat & Keenan, P.C. Respondents American Glass Industries, Inc. and Robert Lewandowsici failed to appear at the hearing. CASE INFORMATION Sta

N.A.S.D. AWARD NATIONAL ASSOdKTICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Q£ Harry Friedman 90-03073 of Stuart James Conpany, Inc. Robert Allan Magnan Far Claimant: Renan I. Sugarman, Esq. of Fishman &. Merrick, Chicago, Illinois. For Respondent Stuart James & Go*: John F. MCBride, Esq. of Hart & Trinen, Denver, Colorado. For Respondent Robert Allan Magnan: Clifford J. Hunt, Esq. of Riden, Birle & Kietner,

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jeffrey p. Cude and Nancy' A. TTmlrlnn 90-03071 HflPP^PPPfci 8 i Sutro & Co., Inc. and Sidney Meyers For Claimants: Jeffrey P. Cude and Nancy A. Redden of 8140 winthrcpe Street, Oakland, California 94605 For Respondents: Eric G. Wailis r Esq. of Wallis, Crosby/ Heafey, Roach & May, 1999 Harrison Street, 22nd Floor, Oakland, Californ

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Roger A. Malcolm and Stacy C. Malcolm and 01-00712 Phoenix, Arizona Name of Respondents New England Securities Corp. Peter R. Kolesar REPRESENTATION OF PARTIES Roger A. Malcolm and Stacy C. Malcolm ("Claimants") were represented by Mark D. Chester, Esq., Scottsdale, Arizona. New England Securities Corp. ("Respondent New England") was represe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nfflff «pf fljfr'JTnant-f s) Iforris L. Durden, Jr. 90-03067 Phillip HUBS Heard before: Name Public /Indus try EHwood F. Oakley, III, Esq. Public Arbitrator Church Yearley Public Arbitrator Iforris R. Copeland Industry Arbitrator This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers,

NATIONAL ASSOCIATION OF SECURITIES DEALERS r INC. In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. CASE $90-03065 AWARD David Block Respondent: CASE SUMMARY PaineWebber, Inc. by its counsel, Patrick J. Howley, Esq., in a claim filed with the National Association of Securities Dealers, Inc. on October 30, 1990, alleged that Respondent, David Block, has failed to rectify the debit balance in his customer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration between Kenneth A. and Mary H. Strasser Claiman and ^s^ ' r 4ty Merrill Lynch, Pierce, Fenner & Smith, Ihc. ^^Q^ C.T. Herman aad Blair Naylor "X^ QQ Respondents / REPRESENTATION OF PARTIES Claimants were represented ! by David F. Cunningham, Esq. of White, Koch, Kelly & McCarthy of Santa Fe, New Mexico. Respondents were represented by J