N.A.S.D, AWARD- NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between ~~ Name a of Claimant a Raymond H. Link and Joyce L. Link 90-02712 Names of Respondents Shear son Lehman Hut ton. Inc. and Daniel Zessinger REPRESENTATION Claimants were represented by Stanley E. Goldstein, Esq. of Seiner, Glaaer, Komon, Berger & Galganski, St. Louis, Missouri. Respondents, She arson Lehman Button, Inc. and Danie

Arbitration NiAiGiD National Association of NKTICNAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street In the Matter of the Arbitration Between New York, New York 10004 NamgofClaiggntfs) Matthew Gohd 90-02711 (S\ Gilford Securities , Inc. For Clainent: Harris Cogan of Tenzer, Greenblatt, Fallon & Kaplan. For Respondent: Robert Brantl, Esq. of Bresler, Aroery & Rothenberg. cam .-aMgmrw Stataoent of Claim filed: 10/1/90 Cla

N,A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name or' Claimant Ira L. Goodman 90-02709 Names of Respondents ArMa Financial Services. Inc.. Merrill Saunoi and Jere Ledesky REPRESENTATION Claimant. Ira L. Goodman was represented by Burton M. Bentiey. Esq. of Phoenix. Arizona. Respondents. .ArMa Financial Services. Inc.. Merrill Sauriol and Jere Ledesky were represented by Philip

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Tottenham Corporation and 90-02700 Name of Respondents Bear Stearns & Co . , Inc . and Jorge E. Villalba and Name of Third Party Respondent Alberto Garza Santos REPRESENTATION OF PARTIES Claimant was represented by Walter T . Weathers , Esq . , Houston , Texas . Respondents Bear Stearns & Co., Inc* and Jorge E.

N.A.S.D. AWARD NRIXCNRL ASSOCTW1CU OF SECURITIES DEALERS In the Matter of the Arbitration. Between of David U. Crouch anri Dan^e M. Crouch; Jewel G. Crouch; David U. Crouch, M.D.P.A. Employees' Profit Sharing #2, UTD 1-1-76; and Dr. David M. Crouch, P. A., Employees' Profit Sharing Trust, OTD 1-1-76. Shearscn Letaan Brothers, Inc., f/k/a HuttOU, ftfark E. Boon? Janes E. lane; Sue Jackson Name of Ttdrd-Party Respcaodfint B

N.A.S.D. NATICNAL ASSOCEKPICN OF SECURITIES DEMURS In the Jtotter of the Arbitration Between Jackie B. Clayton 90-02694 Name Q*f Shearsan Lehman Hutton, Inc. Mark S. >fcAfee Claimant Jackie B. Clayton was represented by P. David Nswsone, Jr., Esq. of Conner & Winters, Tulsa, Oklahoma. Respondents Shearson Lehman Hutton, Inc. and Mark S. McAfee were represented by William A. Olshan, Esq. of Shearson Lehman Brothers, Inc., New York, New York.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Francis H. Rainsdon First Trust Corp. TTEE FBO Francis Rainsdon Claimants CASE *90-02690 AWARD vs . Dean Witter Reynolds, Inc. Respondent CASE SUMMARY Pro Se Claimants Francis H. Rainsdon, First Trust Corp. TTEE FBO Francis rt. ttainsuon,' in a claim filed wir.h the NaticnsJ Astoociatiwii of Securities Dealers, Inc on September 26, 1090,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Track Data Securities Corporation, (Claimant) vs. Moses Gluck, Moshe Gluck., American Duplicating Inc., and American Duplicating Corp., (Respondents) Case Number: 01-00691 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Track Data Securities Corporation, hereinafter referred to as "Claimant": Joseph F. Keenan, Esq., McCanliss and Early, LLP, New York, NY. Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Susan Chandler 90-02681 Name of Shearson Lehman Hutton, Inc. David Bruce Claimant Susan Chandler was represented by Rosemary J. Schockman, Esq. of Fennemore Craig, Phoenix, Arizona. Respondents Shearson Lehman Hutton, Inc. n/k/a Shearson Lehman Brothers, Inc. and David Bruce were represented by item Galbraith, Esq. of Lewis and Rcca f P

NATIONAL ASSOCIATION OF SECURITIES DEALERS f INC, In the Matter of the Arbitration Between Patricia S, and James M. Rives (deceased) Claimants vs. Merrill Lynch, Pierce, Fenner and Smith, Inc. and Bruce W. Mercer Respondents Case #90-02676 AWARD CASE SUMMARY Patricia S. and James M. Rives, in a claim filed with the National Association of Securities Dealers, Inc, on September 25, 1990, alleged that Respondents churned their a