NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC CASE #90-02188 AMENDED AWARD In the Matter of the Arbitration Between Murray H. and Addie Spencer Claimants vs. Jeffrey M. Chatfield Respondent On May 16, 1991 after being presented with additional information provided by Respondent Jeffrey M. Chatfield, Judge James A. Wilson, Commissioner, The Municipal Court, San Diego Judicial District, San Diego, California, recommended to the Natio

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard J. Kasprowicz vs. Blinder , Robinson & Co. , John Patrick Keenan Claimant Inc. and Respondents X X X X X X X X X X X X CASE NO. 90-02184 AWARD CASE SUMMARY Claimant, Richard J. Kasprowicz ("Kasprowicz"), alleged that Respondents, Blinder, Robinson & Co., Inc. ("Blinder") and John

N.A.S.D. AKARD NAHCHAL ASSOCIATION OF SUAJU1T.1J-5 DEALERS -. v , la the Matter of the Arbitration Between Qf Robert: & Mary Bestor JTMROS 90*02183 HajmeofRfisjocndents Richard Chancis Financial Clearing and Services Corp, OF Claimant Robert K^P^T appeared pro se. Respondent Richard f+mri^g flp"p ft »'*'ed pro se. The Statement o£ Claim vas filed on or about August 8, 1990. Claimant '3 Submission Agreement signed on A

NATIONAL ASSOCIATION OF SECURITIES DEALERS, T In the Matter of the Arbitration Between ) i ; Jo Ann Andrews , } William A. Peel, D.D.S. ) Claimants ) ) AWARD vs. i ) NASD *90-02180 Shearson Lehman Hutton, Inc., ) Prudential-Bache Securities, Inc. ) Respondents ) REPRESENTATION Claimant was represented by her husband James M. Andrews, Respondent Snearscn Lehman Hutton, Inc. v/as represented by'Smi A. Murphy, Esq. o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Name of John M. and Joyce Coutta Case No. 90-02179 Name of Resipondentfsi Bear Stearns & Company Dennis C. Koenning Heard before the members of the Arbitration Panel: Steven D- E

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-02174 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs . Tickets Only, Inc. Respondent CASE SUMMARY Claimant, PaineWebber, Inc., in a claim filed with the National Association of Securities Dealers, Inc. on August 7, 1990, alleged that Respondent sold stock in its customer account that resulted in a debit balance in said account. Claimant assert

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Christine H, Marbach Claimant VS, Shearson Lehman Button, Inc. Respondent CI : SUMMARY CASE +90-02173 AWARD Christine M. Marbach, in a claim filed with the National Association of securities Dealers, inc. on September 7 , 1990, alleged that Respondent Shearson Lehman Hutton, Inc. charged her f?? 0 ^ f °5 35 ° unit

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Beatrice L. Nix vs. Claimant The Robinson Humphrey Company, Inc. Shearson Lehman/American Express, Inc. Respondents CASE* 90-02168 AWARD For Claimant: For Respondents: REPRESENTATION David Andres, Esq. Louise Bailey Matte, Esq. of the law firm of Peterson, Dillard, Young, Self & Asselin. CASE INFORMATION Statement of Claim filed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sloan M. Colton vs. Claimant Prudential Bache Securities, Inc. Lee R. Fleischman Evan R. Collins, Jr. Respondents CASE* 90-02166 Heard before: Allen Kilik Public Arbitrator CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 8, 1990, Claimant Sloan M. Colton alleged the Respondents Pruden

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert D. and Merle R. Baker Claimants va. CASE AWARD John Hubble Respondent CASE 190-02161 CASE SUMMARY Robert D. and Merle R. Baker, in a claim filed with the National Association of Securities Dealers, Inc. on August 6,1990, alleged that Respondent and broker, John Hubble, while employed at Blinder Robinson and Company, Inc., executed unautho