NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between : James Shen : • • Claimant : • vs. : CASE #90-01416 : AWARD Wellshire Securities, Inc. : Joseph Jenkins, Jr. - : • * Respondents : CASE SUMMARY Claimant, James Shen, in a claim filed with the National Association of Securities Dealers, Inc. on May 18, 1990, alleged that Respondents Wellshire Securities, Inc. and Joseph Jenkins,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between: LEON VALES CLAIMANT AWARD §90-01412 •• SHEARSON LEHMAN HUTTON, INC. JOHN MORAN RESPONDENTS * CASE SUMMARY The Statement of Claim was filed with the NASD, Inc. on May 18, 1990. Claimant, Leon Vales alleged that Respondent, John Moran, engaged in unauthorized trades, churning and unsuitable investments in connection with his account at Sh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAl£RS In the totter of the Arbitration Betroen Name of Claimant (s) Charles Jansky, PR. -Estate Carl Jansky 90-01410 Name nf Dain Bosvrorth Incorporated Casil P. Andritopoulos Public/Industry PUBLIC_ PUBLIC INDUSTOY This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on May 17, 1990. Claimant alleged that

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elizabeth E. Meyer, Individually and as Trustee of the Elizabeth E. Meyer Revocable Trust (Claimants) v. Denise Roberts, Bruce Spence, and Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. (Respondents) Case Number: 00-04772 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Eliz

N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betwodn Of Vijay Agaxwal Preeta Agaxwal vs. NASD Arbitration Nb. 90-01162 Q£ Charles Schwab & Coqpany, Inc. For Claimants: Maynard J. Klein, Esq., Fbr Respondent: Gilbert R. Serota, Esq., of Howard, Rice, Nsnerovski, C^nacty, Robertson & FaQJc, Los Angeles, California* Statanait of f^a^ filed: April 23, 1990 Aijii i in ill i signed on: July

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of torilyn Crang 90-01159 Name of Respondentfsl Dean Witter Reynolds , Inc. This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 30,1990. Claimant Marilyn Crang alleges that she purchased fron Respondent Dean Witter Reynolds, Inc.a $50,000.00 High Yield Fund and a $22,000.00 Convertible Fund.

NASD AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Mame of Doran J. Jfooney 90-01158 Name of Respondents Cknni Financial Managecnant, Inc. Lawrence Daniel McCue For Claimant: Joseph E. Kbhler, Esq. For Respondents: Benjamin B. Segel, Esq. caSB Statement of Claim filed: April 24, 1990. Claimant's Submission Agreement signed on: April 19, 1990. Joint Statement of Answer filed by Responden

Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 N.A.S.D. AWARD NATIONAL ASSOdKFECN OF SECURITIES DEALERS In the Tfattjgr ryf t-to Richard V. and Anne M. Delao Award 90-01145 5 of Allied Capital Group, Inc. Claimants Richard V. arri Anne M. Delao ("Claimants") alleged that Respondent Allied rapii-ai Group, inc. ("Respondent") told Claimants that dP

NATIONAL ASSOCIATION OF SECURITIES DEALERS r INC. In the Matter of the Arbitration Between } ) Regina Balabanow ) Claimant ) ) AWARD vs. ) ) NASD #90-01144 G.W. Storey & Associates ) and William Bossenmaier ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 23 f 1990. Claimant alleged that Respondents breached their fiduciary duties

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAE£RS In the Matter of the Arbitration Betvreen ) ) Name of Herman W. & Judy Thonpson ) ) Case No. 90-01143 Name of Rogprayton-hf s \ ) Firat Jersey Securities, Inc. ) Ed LeMasters ) ) Heard before the members of the Arbitration Panel: Craig Edward Stein, Esq. Public Judy Avey Public Steven M. Greenbaum, Esq. Industry This matter was initiated by a Statement of Claim filed w