NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David Scott Davis 90-01687 Claimant vs. We11shire Securities, Inc. Teresa DiLorenza Respondents OATH AND AWARD OF ARBITRATOR Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or related by blood

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Hak Kay Tai 90-01685 Name of Respondent* si Brennan Ross Securities, Inc. Bassam H. Lahoud Uche Akwuba Heard before: Name Public/Industry Henry Baiter Public Arbitrator This claim was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on June 13, 1990. Claimant alle

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Cowen & Co., Inc. Claimant ) Case if 90-01683 ) vs. ) Award ) Edward Leisure Respondent ) Heard before: John L. Evans, Jr. Public Arbitrator Dean P. Fite Public Arbitrator Robert J. Bonini Industry Arbitrator 1. PARTIES: Claimant: Cowen & Co., Inc. Represented by: Its Associate General Counsel Daniel Donovan Respondent and Counte

M A..q.H. AWARD Arbitration © NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between" Name of Claimant's) George V. Wrend National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 CASE #90-01678 Name of Respondents si Marc S. Barhonovich Heard before the Arbitrator: John R. Lawson, Esq. Public This matter was

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Francis S. Matarazzo Claimant vs. Harold Scattergood and Boenning & Scattergood, Inc Respondents x x x X x CASE NO. x 90-01677 x x AWARD x X X CASE SUMMARY Claimant, Francis S. Matarazzo ("Matarazzo"), alleged that Respondent Harold F. Scattergood ("Scattergood"), Chairman of the Board of Respondent Boenning &

HUG-02-1991 0?:44 FROM NASD-ARBITRATION-CNICAGO TO &A.S.D. AWARD NHnonit j^ssoci^ncN OF SECURITIES ISKLGRS In the Matter of the Arbitration Between Pax&riew itanhcoBB, Inc. 16123477077 P.03 Claimant and Affiliated Security Brokers Lionel 90-01672 Respondents In a claim filed with the National Association of Securities Dealers, Inc. (TttSD") on or about Jons 12, 1990, Claimant Parkview Otownhoraes, Inc. ("Parkview") alleged that R

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Harold J. Wain, M.D. Martin W. Graf, M.D. vs. PaineWebber, Inc. Daniel Strishock Heard before: Stephen E. Crable, Esq. John W. Johnson, Esq. Alexander Heckman, Esq. Claimants Respondents 90-01669 Public Arbitrator Public Arbitrator Industry Arbitrator CASE SUMMARY In claims filed with the National Association of Securities

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between f Plaimartt James M. Mead Case No. 00-04796 John E. Pastorini J.J.B. Milliard, W.L. Lyons, Inc. Hearing Site- Washington, D.C. Claimant, James P. Mead ("Mead") referred to as "Claimant": Harry D. Martin, Esq., Elderkin, Martin, Kelly & Messina, Erie, PA. Respondents, J.J.B. Milliard, W.L. Lyons, Inc. ("Milliard Lyons") and John E. Pastorini ("Pastorini"), collec

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of riai-maTrt-.gi * Leo M. Colman Name of Respondentfs^ Sheazrson Lehman Hut ton, Inc. E.F. Hutton & Co. Inc. Heard before: Morray I. Scraner Lawrence E. Goldberg Louis Green 90-01666 Public/ Industray Public Arbitrator Public Arbitrator Industry Arbitrator Claimant Leo M. Colman was represented by Lawrence R.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bob and Velvalee Arbaugh Claimant(s) vs. 90-01665 ii Ted J. Meyer Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Bob and Velvalee Arbaugh alleged that Respondent(s) Ted j. Meyer failed to execute Claimant's limit orders at the prices which were requested and subsequently failed to honor promises to settle the difference