NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC- In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. CASE #90-02314 AWARD Lawrence E. Wood Juanita D. Wood Respondents CASE SUMMARY PaineWebber, Inc., represented by its attorney Joseph. F.- Generelli in Weehawken, NJ, in a claim filed with the National Association of Securities Dealers, Inc. on August 21, 1990, alleged that Respondents have failed to pay to the

N.A.S.D. AWARD ASSOCIATION 0? SECURITIES DEALERS n the Matter of the Arbitration Between c-f Claimant?si Abe Shirazi 90-02313 Nans of Respondent(s) Terry Hughes Mark Vandusen Brice Boucher Don Oahmke r.Aa-.-ljjp^ Claimant Abe Shirazi was represented by Joel Funk p Esq. of Overton & is r kes.. P.C, of Englewood, Co. ndent Terry Hughes appeared Pro se. a ~~ ' Kespcndent Itfark Van Deusen was represented

NATIONAL ASSOCIATION CF SECURITIES, -NC. In the Matter cf the Arbitration Between Painevvebber, Inc. Claimant ; • A W A R D vs. } i Jay Mays } Respondent } ] ) CASE SUMMARY Claimant, PaineWebber, Inc., by and through its attorney Joseph 7. Generelli, filed a Statement of Claim with the National Association of Securities Dealers, Inc. on August 21, 1990. Claimant's statement of Claim alleged that Respondent, Jay Mays, has

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Peter F. Apanovitch Claimant vs . Shearson Lehman Hutton, Inc. Howard Clark Respondents CASE #90-02308 AWARD CASE SUMMARY Peter F. Apanovitch, in a claim filed with the National Association of Securities Dealers, Inc. on August 20, 1990, alleged that Respondents failed to deliver fifteen (15) CMO interest paying bonds after payment and n

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John H. Henkin & Ruth S. Henkin/ Char Family Trust Claimant vs. Rauscher Pierce Refsnes, Inc. and Larry R, Mitchell Respondent Award Case #90-02307 CASE SUMMARY John H. and Ruth S. Henkin on behalf of the Henkin Family Charitable Remainder Trust/ in a claim filed with the National Association of Securities Dealers, Inc. on August 21, 1990,

Arbitration N.A.S.D. AWARD NATIONAL 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 Name of Claimants Earnest & Gennell Lewis vs Nama of Case # 90-02305 Shearson Lehman Hut ton, Inc. Heard before: Name Christopher J. Moran, Jr., Esq. Pnhl in Public - Chairperson

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Itotter of the Arbitration Between Margaret Harvard Vogelson 90-02303 Name of Respondents Dean Witter Reynolds, Inc. Wesley Jennison For Claimant: Appeared pro se. For Respondents: Carol B. Schachner, Esq. in-house counsel at Dean Witter Reynolds , Inc. ("CWR") Statement of Claim filed: August 21, 1990. Claimant's Sutmission Agreement signed on: August 9, 1990. Joint St

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Arthur Smalley Claimant vs . AWARD Stuart-James Investment Bankers R 11. < = 5 o i_ j_ _a j_ vis Larry Hill Respondents CASE #90-02302 CASE SUMMARY Pro Se Claimant, Arthur Smalley, in a claim filed with the National Association of Securities Dealers, Inc. on August 21, 1990, alleged that Respondents Stuart-James Compan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS- In the Matter of the Arbitration Between j ) Name of Elvis L. and Virginia L. Wilkinson ) ) ) Case No. 90-02300 ) Name of Respondent. ( s ) ) ) Smith Barney Harris Upham & Co., Inc . ) Mark R. Sorensen ) Heard before the mambers of the Arbitration Panel: David A. Townsend, Esq. Public Sam Giunta Public Kathleen Baggett Church Industry Claimants, Elvis L. and V

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitrarion Betv^en Name of Claimant t s \ Thomas & Charlotte Johnston 90-02299 Name of R^gpfffTflpnt (s) Prudential-Bache Securities Inc. Don P. wyse . For Claimant: Walter S. Weiss For Respondent:Neil S. Robb Statement of Claim filed:August 21, 1990 Claimant's Sutmission Agreement signed on:August 13, 1990 Statement of Answer filed by Respondent, on: Feb