NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Paul and Rosalyn Burgio ) Claimants ) ) AWARD vs. ) ) NASD #90-01257 Coast Financial Advisors, Inc. ) Respondent ) _) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 4, 1990. The basic facts at issue are uncontested: Claimant Paul Burgio made an investment of one-hal

D Arbitration N.A.O.D. Mft NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lantec S.A. vs Name of Respondent Oppenheimer & Co., Inc. National Association of 33 Whitehall Street New York, New York 10004 Case # 90-01256 Heard before the members of the Arbitration Panel: Publi< Public Name Richard W. Vallario James M. Baumann Public Edward G. Turan Industry This

NASO N.A.S.D. 3WRRD ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. New York 10004 In the Matter of the Arbitration Between of naimant-s Fidelity Brokerage Services Inc. National Financial Services Corporation Case # 90-01255 Peter Zuguang Wang Claimants, Fidelity Brokerage Services, Inc. and National Financial Services

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE *90-01251 AWARD In the Matter of the Arbitration Between David Lerner Associates, Inc. Claimant vs. Barry S, Schein Respondent CASE SUMMARY In a claim filed with the NASD, Inc. on May 3, 1990, Claimant David Lerner Associates, Inc. alleged in connection with an employment contract the Respondent entered into with the Claimant, the Respondent agreed that in the event he voluntarily

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Otto Kahn, M.D. Otto Kahn p M.D. Inc. Pension Trust U/A Dated 9/30/82 vs. 90-01247 Nama of ItaomitimiLfsl Bateman Eichler, Hill Richards, Inc. Monroe A. Kahn James H. Burress For Claimants: Richard L. Solomon, Esq., IDS Angeles, California For Respondent: Craig B. Jorgensen, Esq., Kindel & Anderson, los Angeles, California.

NATIONAL ASSOCIATION OF SECURITIES DEALERS r INC. In the Matter of the Arbitration Between Kim Eileen Gilbert: i Claimant / ) AWARD vs. J } NASD NO. 90-01245 Wedbush Morgan Securities, Inc. ) Gliksman Securities Corp. ) Rosemary Shannon ) and Harry Gliksman ) Respondents REPRESENTATION Claimant was represented by Michael E. Friedman, Esq., Attorney at Law. Respondent Wedbush Morgan Securities/ Inc. was represented

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-00655 Skakel & Skakel Design, LTD, Claimant vs. Norman Brodeur Jr., Carmine A. Sarnelli, Jon K. Lee, Thomas M. Rossi and Wexford Clearing Services Corp, Respondents. ATTORNEYS: For Claimant, Skakel & Skakel Design, LTD, appeared Brian H. Reis, Esq., For Respondent, Norman Brodeur, Jr., and Carmine A. Sarnelli appeared Marc J. Ross, Esq., Sichenzia, Ross, Friedman & Ference, LLP, New Yo

Arbitration N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEALERS National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between of Johnnie D. & Suzetta Plunkett vs Name of Case # 90-01241 TttBRD Shearson Lehman Button, Inc. Claimants, Johnnie and Suzette Plunkett, allege that Robert Mobley, a financial consultant wit

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEAIERS In the Matter of the Arbitration Between Gerald R. Shaw & Ann Miller Shaw Name 9QbQ123? Prudential-Bache Securities Inc. David J. Ttanpson Gerald R. and Ann Miller Shaw were represented by Mark J. Briol, Esq. of Briol & Wilrres, Minneapolis, Minnesota. Prudential-Bache Securities, Inc. and David J. Thonspon vrere represented by Edward Samson ., Esq. of Prudential-Bache Securities, Inc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NaineofCladinants Charles & Frances Rodgers 90-01229 Name of Rasmnripnt Shearson Lebman Brothers, Xnc. N.A.S.D. .ZWAKD PUBLIC For Claimants: Brian Barbin, Esq. of Elliot, Bray & Rlley. For Respondent: Philip Murren, Esq. of Ball, Shelly, Murren & Cormell. Statement of Claim filed: May 1, 1990. daimants' Submission Agreement signed on: March 21, 1990.