N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Betvreen Mama of Eugene Cutcmings Dean Witter Reynolds, Inc. Case No. 90-01865 For Claimant, Eugene Cunnings ("Cunmings"): A. Grant Bohl of D.B. Management. For Respondent, Dean Witter Reynolds, Inc. ("Dean Witter"): Abe Lamport, Esq. of Dean Witter. Statement of Claim filed: on July 24, 1990 and amended on June 26, 1991. Claimant's Submission Agreemen

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Howard Lee x Claimant x x CASE NO. vs. x 90-01859 x Wellshire Securities, Inc., Walter Sarowie, x AWARD and Otra Clearing, Inc. x Respondents x x CASE SUMMARY Claimant, Howard Lee ( "Lee" ) , alleged that he instructed Respondent Walter Sarowie ("Sarowie"), an employee of Respondent Wellshire Securities, Inc. ("Wellshire"), to sell h

PUBLIC Arbitration NASD AWARD National Association of Securities Dealers, Inc. MATICNAL ASSOCIATION OF SECURITIES DEALERS 33 Whitena^reer^ . New /orK. NY 10004 In the Matter of the Arbitration Between r AX < 2i 2} 858-4389 Name of Claimants John and Gonna Colman 90-01854 Name of Respondents Westimnt Securities, Inc. Robert Sabel For Claimants John and Ronna Colman ("Claimants") : Anthony V. Trogan, -of Weisman Trogan et al

JflN-21-1994 08:59 FROM TO NKTXCHHL . ASgoCIKnOI OF SECUFtTI IBS In the Natter of the Arbitration Between of Claimant-./fiS Robert L, tfark K. Virginia Mark Prudsntial-Bache Securiti Jftrty Haraci In n claim filed with the ("NASD") on or about June 29 (herein after "Claimts") Marty Hatari (herein after the ClaunonU by sm xnaaudinq McnritijBS cteL are ctnl.rar dairaants amvct that a ta»ac of P*ir Practice; 2) and 3) th

M a Q n Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jtatter of the Arbitration Between Name of Claimant J. Stephen Ivey vs of National Association of Securities Dealers, Inc. NASO Financial Center 33 Whitehall Street New York, New York 10004 90-01851 Prudential -Bache Securities Inc. Stuart M. Kosloff Heard before the members of the Arbitration Panel: Name James R. Marietta, Esq. Fred A. Till

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Shearson Lehman Hutton, Inc. ) Claimant & ) Counter-Respondent ) AWARD vs. ) ) NASD #90-01839 Lee Terrell ) Maria Terrell ) Respondents & ) Counter-Claimants ) ) SUMMARY OF ISSUES Claimant alleged failure to pay an unsecured debit balance in Respondents' account arising from losses incurred in short sales of OEX options contr

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Louise McCoy and Hans Franke, Claimants v. Prudential Securities, Inc., James Murray, Joseph Kehoe and Robert Jordan, Respondents Case Number: 00-04799 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Jeff D. Ferentz Greenbaum & Ferentz LLP Newport Beach, California For Respondents James Murray and Joseph Kehoe: Ben Suter Kees

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William E. Harris, Claimant v. Tasin & Co., Inc., Thomas J. Mullaly, and Thomas M. Giugliano, Respondents Case Number: 00-00497 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: William F. Davis, Esq. Attorney at Law Los Angeles, California For Respondent Tasin & Co., Inc.: Salvatore Sapienza. Tasin & Company, Inc. Hauppauge, New Yor

Arbitration N.*N«IA»oetotlon«l - NATICNRL ASSOCIATION OF SECURITIES DEAIERS NASD RnanctelCenter _ 33 Whitehall Street In the Matter of the Arbitration Between New York, New York 10004 Name nf riaiman1-/g] Carmen Richard & Jeannette Roy 90-01831 *|g"g_Q L f_|teflUtl)dsnt', f fi y First Investors Corporation Heard before the Arbitration Panel: - Wane Public/Industry Robert Seaman, Esq. Public/Chairman Henry H. Baiter Public

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants si William H. Lipschultz 90-01830 Name of Respondent (j_), Piper, Jaffray & Hoprood Incorporated Richard Li For Claimant: William H. Lipschulz was represented by David P. Pearson, Esq. of Winthrop & Weinstine, St. Paul, Minnesota. For Respondent: Piper, Jaffray & Hopwood Incorporated and Richard Li were represented by Jeff