N.A.S.D. AWftRD NATICNAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimants Clifford Altfeld & R. Lyn Lewis, Alan L. Stein & Terry S. Holpert 90-00847 Name Qf Respondent* s| Shearson Lehman Hutton, Inc. In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about March 21, 1990, Claimants Clifford B, Altfeld, R. Lyn Lewis, Alan L. Stein, and Terry S. Holpert (collectivel

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Morgan Stanley DW, Inc. and Name of Respondent Rhea Laws Case Number: 00-04692 Hearing Site: Houston, Texas NATURE OF DISPUTE Member Firm v. Customer REPRESENTATION OF PARTIES Morgan Stanley DW, Inc. ("Claimant") was represented by Michael Abbott, Esq. and Catherine L. Dellecker, Esq., of Jones, Bell, Abbott, Fleming & Fitzgerald, LLP, of Los

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Harold E. Feldman Claimant(s) vs. Irving Reichenberg Respondent(s) NOTICE OF ARBITRATION AWARD 90-00840 CASE SUMMARY Claimant(s) Harold E. Feldman alleged that Respondent(s) Irving Reichenberg made material misrepresentations and used high pressure sales tactics to sell securities to Claimant and subsequently failed to follow Claimant's instru

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Shearson Lehman vs . Chibao Miaw the Arbitration Between Hutton, Inc. Claimant Respondent X X X X X X X X X X X CASE NO. 90-00832 AWARD CASE SUMMARY Claimant, Shearson Lehman Hutton, Inc. ("Shearson"), alleged that due to the market decline of October 19, 1987 the Respondent's, Chibaq Miaw("Miaw), account sustaine

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among: ) ) VIRGIL W. and ANN G. STOKES, ) ) Claimant(s) ) vs. ) AMENDED ) AWARD WALL STREET CLEARING CO. and THE FIRST ) t|0- NATIONAL BANK OF TUSCALOOSA, ) ) Respondent(s) ) ) ) The undersigned Arbitrator files this amendment to his Award, dated November 9, 1990, to correct certain technical errors which appear in the original text.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of f \ U^i_ James C. and Betty Dunn \ 90-00823 \ ^ Name of Respondents Newhard Cook & Co., Inc. Jerry Stein For Claimants: Jay E. Sushelsky, Esq. of St. Louis, Missouri. For Respondent Newhard Cook & Co., Inc. : Terry Lister, Esq. and Joanne D. Martin, Esq. of Peper, Jfertin, Jensen, Maichei and Hetlage of St. Louis, Missouri .

N.A.S.D. AWARD ASSOCIATION OP SECURITIES DEBLHiS In the totter of the Arbitration Between Nam* nf f*1ai mantes ) Marie E. Saoooccio 90-00822 Diversified Resources, Inc. Heard before: Name Public/Industry Julian Begien, Esq. Public Arbitrator Simon Tager Public Arbitrator James Shanncn Industry CASK This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on March 1

N.A.S.D. AWARD NATICNRL ASSTCIATICN OF SECURITIES DEM£RS In the Matter of the Arbitration Between Name qf; gl a imant (s | Joy Bailey CASE#90-00821 Name of Rfflrop nr k?flti f ff ^ Judy M. Petrovich Heard before the Arbitrator: Janes R. Kennedy, Jr., Esq. CRSE SOMKT This claim was filed with the National Association of Securities Dealers, Inc. (NASD) on March 19, 1990. The hearing was conducted in Tanpa, Florida on December 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William H. Everett, M.D. Claimant(s) vs. 90-00816 Adnan A. Durrani Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) William H. Everett, M.D. alleged that Respondent(s) Adnan A. Durrani misrepresented material facts as to Claimant's investment with Respondent. Respondent did not respond to the claim. RELIEF REQUESTED C

Award NASD Dispute Resolution, IncJ In the Matter of the Arbitration Between: Loren G. Yamamoto, Claimant v. Couch & Co., Inc. file/a Thomas Couch, Inc., JW Genesis Filiancial Services, Inc., Anthony Frank Giordano, Thomas McDonald Couch, Jr., and Couch & Corhpwiy.Com Holding Company, Inc., Respondents Case Number: 00-04691 Hearing Site: Honolulu, Hawaii REPRESENTATION OF PARTIES For Claimant: For Respondents Couch & Co., Inc. file/a Thomas Couc