Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 In the Matter of the Arbitration Between Name of Claimant (s) Albert Jeffers of Resrr^qnt (s) Graystone Hash, Inc. Stephen B. Kaplan Thomas Acker ly Glen Desort John Calabria Case No. 90-01527 For Claimant, Albe

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Clalmantfa^ ) ) David E. DeWitt ) ) ) Case No. 90-01523 ) Name of Qppenheimer & Co., Inc. ) Lili Ann Altaian ) Kenneth Sussman ) Heard before the mentors of the Arbitration Panel: Joseph L. Bernstein, Esq. Public Charles H. Brodzki, Esq. Public Herbert S. Kaxol Industry This matter was initiated by a Stat

p Region r_ Volume /£^ r N umber c*. rtmratlon AMOC|atlon flf S«curftlee Dealer*, Inc. One East Broward Boulevard Suite 1000 N A S D AWARD Ft - Lauderdale. Rorida 33301 W. A. b. U. AWAWJ {305)522-7391 NATIONAL ASSOCIATICN OF SECURITIES DEAI£RS In the Matter of the Arbitration Between ~ Mama of Claimant fa] Paul D. & Lana J. Somers 90-01518 of Hliabard Brown & Company inc. Heard before the Arbitrato

Arbitration N.A.S.D. AWARD NKTICNftL ASSOCIATION OF SECURITIES DEALERS National Association of Securities Dealers* Inc. NASD Financial Center 33 Whitehall Street New York, New York 10QC In the Matter of the Arbitration Between p of William Pizetzky vs. nf Resondents. Case # 90-01516 JOIRRD Richard Scileppi, Jr. Prudential Bache Securities, Inc. Claimant, William Pizetzky, alleges that Respondent, Richard Scile

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of Claimant (s) Elizabeth A. Dunigan 90-01514 Name of Respondent (s) Alison Baer Securities, Inc. Daniel S. Peterson Walter Briggs Philip Gurien Karen Fischer Glenn Thomas Vittor Frank Henry Oxmstead For daimant: Claimant Elizabeth A. Dunigan appeared pro se. For Tteapgrytefitg t All Ttespgnidigfitg appeared pro

£ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jeffrey D. Burton Claimant(s) vs . 90-01512 Burke, Christensen and Lewi Securities, Inc. Respondent(s NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Jeffrey D . Burton alleged that Respondent(s) Burke, Christensen and Lewi Securities, Inc. negligently misrepresented material facts as to Claimant's account held with Respondent.

M a c ri Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mama of National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Daniel J. Conway, Esq. 90-01510 Charles Schwab & Company, Inc. the < arbitrator/meRters of the Arbitration Panel>: Name Public/Industry Jeffrey W. Letwin, Esq. Public This matter was initiated

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen") Name of Claimantfsl ) Earl & Dore Gabriel, JTIEN ) Case No. 90-01506 Maine of. Dean Witter Reynolds, Ire. Kevin Clark Heard before the matters of the Arbitration Panel: Arthur J. Leibell, Esq. Tiinrin M. Granata, Esq. David Unterterg, Esq. Public Industry Public This matter was initiated by a Statement of Claim filed with

Award NASD Dispute Resolution, Inc. In the Maner of the Arbitration Between Name of Claimant Kevin Feldman Names of Respondents A.G. Edwards & Sons, Inc. Barron Chase Securities, Inc. Keith Richard Procovic Case No. 00-04775 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Kevin Feldman ("Feldman") hereinafter referred to as "Claimant": Nanci S. Landy, Esq., Altschul, Landy & Collier, P.A., Weston, Florida until a chan

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Eldon Foster ) Claimant ) ) AWARD vs. ) ) NASD #90-01502 D.A. Davidson & Co. ) Respondent ) ) SUMMARY OF ISSUES Claimant alleged losses on an options trade were a result of Respondent's failure to advise prior to placing Claimant's trade that trading in the option had been suspended the previous day. Respondent denied the allegat