NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lello Appliances Corp. Retirement Trust Claimant(s) vs. Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00648 CASE SUMMARY Claimant(s) Lello Appliances Corp. Retirement Trust alleged that Respondent(s) Shearson Lehman Hutton, Inc. sold securities which were unsuitable to the Claimant. Respondent denies Claimant's

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant-. w. Nick Tune 90-00647 Sterne of Respondents Shearson Lehman Brothers , Inc. and Mark Scritchf ield In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about March 5, 1990, W. Nick Tune ("Claimant") alleged that Mark Scritchf ield ("Scritchf ield") while employed by Shearson Lehman Hutton,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James L. May, Claimant v. Morgan Stanley Dean Witter, Inc., and Matthew Maloney, Respondents. Case Number: 00-04678 Hearing Site: Cincinnati, Ohio REPRESENTATTON OF PARTIES Claimant James L. May ("May") represented himself. Respondents Morgan Stanley Dean Witter, Inc. ("MSDW"), and Matthew Maloney ("Maloney"), hereinafter collectively referred to as "Respondents," were

90-00646 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (s^ Clement H. Vander Zanden and Violet Vander Zanden Name of Respondent^ Robert W. Baird & Co. Inc. and Dean V. High CASE SUMMARY "" .—-" :C In a Statement of Claim filed with the NASD on March 5, 1990, Claimant Clement H. Vander Zandan and Violet A. Vander Zanden alleged that Respondents sold them unsuitable

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Mrs. Munira H. Ismail & Ismail 90-00645 Name of E.F. Hutton & Company, Inc. David Boyd SOMMRRT OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 5, 1990. Claimants alleged that, in connection with the sale of Kemper Option Income Fund and simultaneous purchase of shares of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Linda Quirk Claimanr ) ) vs. ) AWARD ) Prudential-Bache Securities, ) Inc. Respondent ) CASE NO. 90-00643 _J SUMMARY OF ISSUES Claimant alleged Respondent misrepresented the risks and suitability in accordance with Claimant's financial objectives and station in life in the recommended investment in a limited partnership interest in Spend

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Name of riaimant(s) George W. Gatter CASE #90-00642 Name of R< ag r nrv ten't (S) Prudential-Bache Securities Inc. Anthony L. Guzzetta Heard before the matters of the Arbitration Panel: Robert Herschmann, Esq. Public Judy Avey Public Leslie Bishop Industry Claimant, George Gatter ("Gatter"), was, represented by Russell L.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC AWARD Marie Douglas and Glenn Douglas Claimants V. #90-00638 Prudential Bache Securities, Inc. Respondent CASE SUMMARY The Statement of Claim was filed with the NASD P Inc. on March 5, 1990. Claimants, Marie and Glenn Douglas, alleged that Respondent, Prudential Bache Securities , Inc. committed a misrepresentation in guaranteeing Claimants against any losses in their equity acc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Calvin E. and Marian G. Hilton 95-01719 Name of Respondent Jack White & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 7, 1995 Claimants Calvin E. and Marian G. Hilton ("Claimants"), who appeared Pro Se, alleged that they heid account #026-284000 with Respondent J

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD In the matter or the Arbitration Between Name of Claimantfs) Keith R. Thomas Marcia H. Thomas A ... NASD Arbitration v No. 95-01716 Name of Respondent Is) Stratton Oakmont, Inc. Bear, Stearns & Co., Inc. Jordan R. Belfort Kenneth 5. Greene Daniel M. Porush David S. Samalin Richard Bronson Lee Rough REPRESENTATION For Claimants: Ralph A. Gant, Esq,,