N.A.S.D. AWARD NEFICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Pamela D. Pierce ^ HHTTtl vs. 90-01657 A. G. Edwards & Sons, Inc. and Albert Ttoeis, IV Respondents Claimant Pamela D. Pierce appeared pro se. Respondents A.G. Edwards & Sons r Inc. and Albert Theis, IV were represented by Rose M. Schindler, Esq. of A.G. Edwards & Sons, Inc., St. Louis, Missouri. In a Statement of Claim filed with t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) John H. Bradtke ) Phyllis F. Bradtke, JRWROS ) Claimants ) ) AWARD vs . ) ) NASD #90-01654 Kennedy, Cabot & Company ) Respondent ) _ : _ ) REPRESENTATION Claimants were represented by John Bradtke - Respondent was represented by George Kupper , Esq . , or Kennedy, Cabot & Company, Beverly Hills, California. SUMMARY OF ISSUES

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Janet W. Bransome Claimant vs. Berkeley Securities Corporation Respondent Case #90-01646 AWARD CASE SUMMARY Janet W. Bransome, in a claim filed with the National Association of Securities Dealers, Ino* on June 11, 1990, alleged that Paul Coppola, while employed with Respondent Berkeley Securities Corporation, engaged in unauthorized trades in he

NASD AWARD NATIONAL ASSOCIATION OP SECURITIES-DEALERS r INC* IN THE MATTER OP THE ARBITRATION BETWEEN ) CLAIMANTS: FRANCIS G. AND CAROL G. SOTTON ) c NO. 90-01642 RESPONDENTS: SHEARSON LEHMAN BUTTON, INC. )— ~ and RANDY NADGLE ) «r--. REPRESENTATION For Claimants: Francis G. Sutton and Carol G. Sutton appeared pro se. For Respondents: Shearson Lehman Hutton, Inc., now known as Shearson Lehman Brothers, Inc., and Rodney Naugle

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Barovich and Barovich Associates, Inc. Claimants and 90-01641 Shearson Lehman Button p Inc. and Michael E. Watts Respondents REPRESENTATION Of PARTIES Claimants were represented by Gary J. Ceriani, Esq. and Michael P. Cillo, Esq. of Davis & Ceriani, P. C. r Denver, Colorado. Respondents were represented by Harry T. Walt

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jacqueline Quiros Gould and Edward Gould, (Claimants) vs. First Montauk Securities Corp., Ty Rodriquez, and Paul Giarrnoleo, (Respondents) Case Number: 00-04795 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Jacqueline Quiros Gould ("J. Gould") and Edward Gould ("E. Gould"), hereinafter collectively referred to as "Claimants": Brian J. Neville, Esq., Law

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dr. Edwin B. and Janet W. Bransome Claimants vs. South Richmond Securities, Inc. Respondent Case *9C-01639 AWARD CASE SUMMARY Dr. Edwin B. and Janet W. Bransomer, in a claim filed with,.the National Association of Securities Dealers, Inc. on June 11, 1990, alleged that they purchased one thousand shares of Morse Boulger International Corporation

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charlotte Soleski Claimant vs. 90-01637 Randall C. Schakner, Gerald A. Horwitz and Horwitz, Schakner & Associates, Inc. Respondents REPRESENTATION OF PARTIES Claimant Charlotte Soleski was represented by Ralph A. Weber, Esq. of Kravit, Lammiman & DeBruin S. C., Milwaukee, Wisconsin. Respondent Randall C. Schakner was represented by Jame

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Harry Haldt Claimant f s) NOTICE OF ARBITRATION AWARD 90-01632 David Kippins and Financial Clearing and Services Corp. Respondent(s CASE SUMMARY s) Harry Haldt alleged that Respondent(s) David Kippins and Financial Clearing and Services Corp. ("FICS") made an unauthorized trade in his account and asks that Respondent Financial Clearing and

N.A.S.D. AWARD Ni'JICNAL ASSOCIATION OF SECURITIES DEALERS In the ^fetter of the Arbitration Between Patrick & Mary Allen 90-01628 Name of Respondents Integrated Resources Equity Corp. Royal Alliance Associates, Inc. and Frances Iwiddy car PMITTPS Patrick and Mary Allen were represented by James J. Maylan, Esq. and Bonnie L. Macfarlane, Esq. of James J. Moylan and Associates, Ltd. , Chicago, IL. Integrated Resources Equity Corp. and