NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of the Arbitration Between ) ) Robert G. Peterson Family ) Trust et al ) Claimant ) ) AWARD vs. ) ) NASD NO. 90-01806 Discount Brokerage Services ) Tim Powell ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on June 26, 1990. Claimant alleged: failure to forward a cash tender offer t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jon Martin Claimant vs - CASE f90-01805 AWARD F. Scott Smith Bayview Securities Respondents CASE SUMMARY Pro Se Claimant, Jon Martin, in a claim filed with the National Association of Securities Dealers, Inc. on December 12, 1990, alleged that Respondents have failed, after repeated requests, to close his account and refund the money the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mgme of f!1aimantg Martin Walters, individually and as custodian for Heidi Lynn Walters and Jamie Ann Walters under U3MA/IA, Marty Walters Hones, Inc. and Kathleen Walters a/k/a Kathryn Walters 90-01804 Nams Qf Anchor National Financial Services, Inc. and Norman L. Dixon Claimants appeared pro gg. Anchor National Financial Services,

N.A.S.D. AWARD NA3TCNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant./ a ) Adelaide & Theociore J. Lipton Harris Scherl Jiil Iteyerson Suimit Investment Corp. Kevin Harris ) Case No. 90-01801 Heard before the members of the Arbitration Panel: Edward J. Mar to f Esq. Samuel Leigh Terrence W. Grant Public Public Industry Claijnants, Adelaide Lipton, Theodore J. Lipt

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Blanche 1. Schwetta vi. ' 90-01797 Mama of ftainondant Gregory Schwerin CAfflE STTMMAtt V In t claim filed with the National Association of Securities Dealers, Inc. on June 23, 1990, Claimant Blanche I. Schwerin, who appeared Pro Se, alleged that Respondent Gregory Schwerin, while employed by Wall Street Financial/ which is now bankrupt,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00687 Stanford Group Company, claimant vs. Michael Porricelli, respondent. ATTORNEYS: For Claimant appeared Rebecca Hamric, of Stanford Group Company, Houston, TX. Respondent did not respond to Statement of Claim. DATE FILED: February 9, 2001 CASE SUMMARY: Claimant alleged respondent failed to repay monies owed pursuant to terms of a Settlement Agreement. ARBITRATOR'S REPORT: F

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter Peale Davies & vs. Wm Sword & Co. of the Arbitration Between Co. , Inc. Claimant , Inc. Respondent X X X X x CASE NO. x 90-01789 X X AWARD x X CASE SUMMARY Claimant, Peale Davies & Co., Inc. ("Peale Davies"), alleged that its managing director, Steven M. Looney ("Looney"), entered into two separate agreements with the Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Tom B. Brock No. 90-01788 Name of Respondents John Janeway Robinson-Humphrey Company, Inc. Shearson Lehman Brothers, Inc. REPRESENTATION OF PARTIES Claimant, Tom B. Brock-appeared pro se. For Respondents: Michael W. Rhodes, Esq.. of Lathrop, & Norquist, Kansas City, Missouri. CASE INFORMATION Statement of Claim filed on or about: June 25, 1990. Claiman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant-./.^ Raymond A. & Rose M. Rieke 90-01781 Name of Respondent ( s \ Citicorp Financial Services, Inc. Heard before: Public /ii Robert D. Rose, Esq. Public /Chairman BEEEBHS2SS Claimants Raymond A. & Rose M. Rieke were represented by Mr. Raymond A. Rieke , In Pro Se. Respondents ware represented by Richard P. Murphy, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ Michael Bartok 90-01772 Merrill Lynch, Pierce, Fenner & Smith Inc. Heard before: Name Jonathan I. Klein Roger W. Van Deusen Lester T. Miller Public/ Industry Public Arbitrator Public Arbitrator Industry Arbitrator In a claim filed by the Claimant Michael Bartok ("Claimant") on June 21 r 1990, Clai