NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Don Rametta Claimant(s) vs. ; 90-01557 Kober Financial Corp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Don Rametta alleged that Respondent(s) Kober Financial Corp. misrepresented material facts and used high-pressure sales tactics to induce Claimant to purchase securities. Respondent(s) maintain that it executed an ord

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-01555 AWARD In the Matter of the Arbitration Between Robert and Gloria Schumacher Claimants vs. Shearson Lehman Hutton f Inc. Respondent CASE SUMMARY Claimants, Robert and Gloria Schumacher, in a claim filed with the National Association of Securities Dealers, Inc. on June 1, 1990, alleged that Respondent, Shearson Lehman Hutton, Inc., failed to close out the equity po

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between p nf flaimant tfu, r & Dana L. and Jfargaret A. Tinnes f Jtten. Name of Respondents Craig Hallum, Inc. Daniel R. Tenney The American Insurance Co. >'99t '"'C^r 90-01552 In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about June 1, 1990, Dana and Margaret Tinnes ("Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Malkit S. Sappal Name of Ed Mailer Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Case No, 90-01549 Heard before: Myron S. Dunay, Esq. Public Claimant, Malkit S. Sappal ("Sappal"), reprepresented himself. Responde

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Closson Family Trust, R.E.L. Claimant vs. J*F. Lowe and Company/ Inc./ Roger F. Hatfield and Kurt R. Van Etten Respondents CASE ?90-Q1547 AWARD SUMMARY R.E.L. Closson, trustee of the Closson Family Trust, in a claim filed with the National Association of Securities Dealers, Inc. on June 1, 1990, alleged that Respondent Roger E. Hatfield and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Boettcher & Company Inc. 90-01544 Name of Respondents ) Jeff & Todd Jorgensen Heard before: Name . Public/Ii George H. Speciale, Esq. Public Chair E.Y. Bennion Industry D. Scott Hays Public This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on May 31, 19

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter" of the Arbitration Between Investor Discount Brokerage, Inc. Name of "-," o 90-01543 Thanes Nast, III In a claim filed with the National Association of Securities Dealers , Inc. ("NASD* 1 } on or about May 31, 1990, Investors Discount Brokerage, Inc. ("Claimant") alleged that Thomas Nast III ("Respondent") had an outstanding debit balance in his account.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS . in In the Matter of the Arbitration Between i Q^i -J Name of Claimant fs^ { I—— —~ ARBITRAL-.- ..iCAGQ Agnes M. & John F. McDonnell 90-01542 Name of Respondent^] Robert W. Baird & Co., Inc. Rosanna Lucero-Tbrrez TMs matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on Jfey 31, 1990. Claimants

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wyatt Lee, Claimant v. Royal Hutton Securities Corp., Clark Street Capital, Inc., and Steven J. Simone, Respondents Clark Street Capital, Inc., Counter-Claimant v. Wyatt Lee, Counter-Respondent Case Number: 00-04779 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: For Respondents Royal Hutton Securities Corp. and Steven J. Simo

ArbttnrtkMtp ® N.A.S.D. AWARD ASSOCZATICN OF SBCDRITCES DEAI£SS In the Matter of the Arbitration Between Naff** *vf Claimant AdamM. SoiaroNski ..--;, VS. Name . f Resoottfent NattonafcAMoclatlnno* Securttte DMtors, toe. NASD Rnancrf Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 David Cameron William M. Cadden Co., Claimant, Adam M. Smiarowski, appeared pro se. For Respondent, David Cameron