N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nams nf r.laimantf s) /CoijntierreapQndents Steven J, & Brenda E. Horowitz 90-00891 Name of Merrill Lynch, Pierce Fenner & Smith Inc Jerry D. Warren This case was filed with the National Association of Securities Dealers, Inc. {"NASD") on March 26, 1990. Claimants/Counterrespondents alleged that in connection with options transactions, Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard P. Thomas and Caroline J. Thomas JTWROS Claimant(s) vs. Kennedy, Cabot & Co. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00888 CASE SUMMARY Claimant(s) Richard P. Thomas and Caroline J. Thomas JTWROS alleged that Respondent(s) Kennedy, Cabot & Co. mismanaged Claimants' account causing Claimants to suffer losses due to Respondent's

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Lillian Righter x Claimant x X CASE N< ». vs. x 90-OOHH ! x Waddell & Reed, Inc., x AWARD Lawrence Powell,Thomas Krewson, x and Robert Springer x Respondents x CASE SUMMARY Claimant Lillian Righter ("Claimant") alleged that Respondent Thomas Krewson("Krewson") took the Claimant's I ife savings, which had been previously securely i

NASD Dispute Resolution Arbitration No. 00-04700 Award Page 1 of 8 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Feridown Company, S.A., Compania Nediwel S. A., Cefinor, S.A., and KAP Trading Limited a/k/a KAP Trading Corp, (Claimants) vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., (Respondent) Case Number: 00-04700 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Feridown C

N.A.S.D. AWARD NATICNRL ASSOCIOTICK OF SECURITIES DEH£RS In the Matter of the Arbitration Between KMHY DOVEL HANEY Claimant and 90-00879 SHEARSCW LEHMAN MJTTCN, INC. and JULEK LftWSCN Respondents Kathy Dovel Haney was represented by John Brooks, Esq. of Nutt, Brooks S, Campbell, Wichita Falls, Texas. Shearson Lehman Hutton, Inc. and Julee Lawson vrere represented by C.W. Flynn, Esq. and Brad Foster, Esq. of Locke Purnell Rain Harrell

NATIONAL ASSOCIATION OF SECURITTE^ DEALERS. INC. In the Matter of the Arbitration Between Nan Kenny Claimant Case #90-00878 vs. Award Wolf Agency, Inc. and Gordon L. Wolf Respondents ————___________..•....———..__———————.-.——-.—————»———————— CASE SUMMARY Claimant, Nan Kenny ("Kenny"), alleged Respondents, Wolf Agency, Inc. ("WAI") and Gordon L. Wolf ("Wolf"), placed her in unsuitable investments and was aware or should have been aware of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John L. Helm r individually and as Trustee of the Pay Planning Services r Inc. Pension Plan and Pay Planning Services, Inc. 90-00877 Name of Respondents Prudential Securities Inc Roger G, Scnn Richard H. Wilson Vincent J. Holt, Jr. Heard before: Charles E. Fletcher, III Public Arbitrator Anelia

NATIONAL ASSOCIATION OF SECURITIES DEALERS AMENDED NOTICE OF ARBITRATION AWARD 90-00876 In the Matter of the Arbitration Between Frank E. Turner, Jr. Claimant(s) vs. David C. Dever Respondent(s) THIS NOTICE OF ARBITRATION AWARD SUPERCEDES THE NOTICE OF ARBITRATION AWARD DATED AUGUST 7, 1990 CASE SUMMARY Claimant(s) Frank E. Turner, Jr. alleged that Respondent(s) David C. Dever engaged in unauthorized trades. Respondent(s)

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donnie L. Martin Claimant(s) vs. Adnan Durrani Respondent(s) NOTICE OF ARBITRATION AWARD 90-00874 CASE SUMMARY Claimant(s) Donnie L. Martin alleged that Respondent(s) Adnan Durrani failed to execute a sell order as instructed by Claimant. Respondent did not defend. RELIEF REQUESTED Claimant(s) Donnie L. Martin requested damages of Nine Tho

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Christine F. Armstrong and David J. Furney vs. _ Merrill Lynch, Pierce, Fenner & and Joseph Hameline Between Claimants Smith, Inc. , * Respondents X X X X X X X X X X X X X CASE NO. 90-00872 AWARD CASE SUMMARY Claimants, Christine P. Armstrong and David J. Purney ("Claimants"), alle