NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration -Between Carvei Dillard vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Claimant AWARD NASD #90-02397 CBOE No. 90-NM-9 Respondent SUMMARY OF ISSUES Claimant alleged fraud and breach of contract arising out of his trading in options of the Superior Oil Company in December 1983, and the failure of Respondent to deliver shares on an agreed date.

ArtMtrwton N.A.S.D. AWARD National AsaocMon of Sacuntlm OMtan. Inc. NKTICNAL ASSOCIATION OF SiJLJUKITlKS DEALERS 3 _ _ New York. N.Y. 10004 In the Matter of the Arbitration Between FAX (212) 858-^389 Nameof_Claiinant Sandra Lee Wbodall 90-02396 Name of FaineWebber, Inc. Roney & Co. George Brander For Clainant Sandra Lee Wbodall ("Claimant") : Francis C. Flood and James C. Steffi of Reap, Klein, {bphrey & Efrielman, P.C. F

H.A.S.D. AIMD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Of Genevieve V. Creskey Seal, Trustee Dorothy Strumf eld, Trustee Name of Respondent (s) Argus Securities, IDC. Basil Allison No: 90-02394 For Claimants, Genevieve V. Creekey Beal, Trustee ("Seal") and Dorothy Strumfeld, Trustee ("Strumfeld") s David Sfcrecace, Esq. of Haas, Austin, Ley, Roe & Patsto, P.A. For Respondents, Argus Securiti

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marian F. Dempsey Claimant vs. E.F. Hutton Inc. N/K/A Shearson Lehman Brothers, Inc. Respondent Case #90-02393 AWARD CASE SUMMARY Marian F. Dempsey, in a claim filed with the National Association of Securities Dealers, Inc. on April 27, 1990, alleged that Respondent E.F. Mutton, Inc., now known as Shearson Lehman Brothers Inc., breached its

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of Claimant.fsl Rcmana Valina 90-02392 Name of Respondent^ si Dain Bosworth Incorporated Heard before: Name William S. Glickfield, Esq. Public/Chairman Claimant, Romana Valina T appeared in pro se. Respondent r Dain Bosworth Incorporated was represented by Ms. Cynthia Cheney. This natter was initiated by a State

N.A.S.D. AWARD ' :nw l 2199S NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s} George A. Sloan, Individually and as Executor of the Estate of Vivian S. Marshall 90-02389 Name of Respondent^ Robert C. Allison Jr. Shearson Lehman Hutton, Inc. REPRESENTATION For Claimant: George A. Sloan, Individually and as Executor of the Estate of Vivian S. Marshall was represented by Charles

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS - In the Matter of the Arbitration Between Name of ClaiTnani- Eugene Metzger, Esq. 90-02386 of Resondents Dean Witter Reynolds, Inc. James R. Msintire Heard before: Stephen E. Crable, Esq. Public Arbitrator Edgar T. Bellinger, Esq. Public Arbitrator Mr. Bryon P. Fusini Industry Arbitrator Claimant, Eugene J. Metzger, represented himself in the arbitration. Respondents, Dea

NASD N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name QJ Arbitration National Association of Securities Ostlers, Inc. NASD Financial Center 33 Whitehall Street New York. New York 10004 K. Wilson Name of Restpondents Tucker Anthony Incorporated William D. Lackey 90-02384 For Claimant &*en K, Wilson ("Claimant"): John R. Gamm, a sole practitioner. For Respondents Tu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mohammad Bagherabadi, Claimant v. Providential Securities, Inc. and Henry D. Fahman, Respondents Case Number: 00-04853 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Mohammad Bagherabadi: For Respondent Providential Securities, Inc. For Respondent Henry D. Fahman: Albert J. Rasch, Esq. Albert J. Rasch & Assoc. Costa Mesa, California

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Brokerage Services, Inc., (Claimant) vs. Lawrence Michael Shender, (Respondent) Case Number: 00-00499 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant First Union Brokerage Services, Inc., hereinafter referred to as "Claimant": Brian A. Carlis, Esq., Stark & Stark, Princeton, NJ. Respondent Lawrence Michael Shender, hereinafter referred to as "Re