NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; i Robert Stithem ; Claimant ' ; CASE $90-03203 ; AWAR& Donaldson, Lufkin & Jenrette Securities ; Corporation ; / Respondent ; CASE SUMMARY Pro Se Claimant Robert Stithem, in a claim filed with the National Association of Securities Dealers, Inc. on November 13, 1990, alleged that an employee of Respondent Donaldson, Lufkin and Jenrette Sec

Arbitration « * < ? -r, *r.T»r*-» National Association of N. A. S .D . AWARD Secunties Dealers. Inc. _ ._ NASD Financial Center NATIONAL ASSOCIATION OP SECURITIES DEALERS 33 Whitehall Street _ New York. N.Y. 1 0004 In the Matter of the Arbitration Between FAX (2121 853-4389 Name of Edward L. Beardshear 90-03201 Shearson Trf>>man Brothers, Inc. Lawrence Manierre For Claimant: EoVjard L. Beardshear ("Claimant") represented himself.

® Arbitration N.A.S.D. AWARD National Association of Securities Dealers, Inc. NKTICNM, ASSOdATICN OF SECURITIES DEALEKS New York, New York 10004 In the Matter of the Arbitration Between Name of Mary Elizabeth Murray 90-03198 Prudential Securities Inc Gerald Swirsky For Claimant Ifary Elizabeth Murray ("Claimant") : David E. Shellenberger a sole practitioner. For Respondents Prudential Securities, Inc. ("Prudential Securities, Inc.")

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sonarie, S.A. Claimant vs. Merrill Lynch, Pierce, Fenner and Smith, Inc. Respondent Case #90-03197 AWARD CASE SUMMARY. Sonarie, S.A. by Maurice Silberstein, Attorney-In-Fact f in a claim filed with the National Association of Securities Dealers, Inc. on November 13, 1990, alleged that Respondent failed, for over six weeks, to execute the

N.A.S.D. AWMZD NKTICNAIi ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of daiTnant Herbert Kbshgarian 90-03136 Q£ First Fidelity Capital Corporation John lattierre Claimant was represented by Michael Wasserman, Esq. of Howard Mardell, Ltd., Chicago, Illinois. Respondents did not appear* case Statement of m^» filed on or about Novenber 13, 1990. Claimant's Sufcmission Agreement signed on Nbwentoer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Carl R. and Msredith M. Faix 90-03190 Janney Montgomery Scott, Inc. Earl B. Marks For Claimant: John E. Corbett, Esq. For Respondents: Richard S. Israel , Esq. of Archer & Greiner. TWPTRMKEIQN Statement of Claim filed: November 12, 1990. Claimants' Submission Agreement signed: November 6, 1990. Statement of Answer file

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE I90-&J181 AHARD In the Matter of the Arbitration Between Bateman Eichler, Hill Richards, inc. Claimant vs. Paul Justi Respondent CASE SUMMARY Bateman Eichler, Hill Richards, Inc., in a claim filed with the National Association of Securities Dealers, Inc. by Brian K. Lowe, Associate Vice President of Bateman Eichler, Hill Richards, Inc. on November 9, 1990, alleged that Respondent

NATIONAL ASSOCIATION OF"SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Steven H. Dunkleberger Claimant vs. CASE #90-03179 AWARD G.K. Scott & Co. Phil Mullan Respondents CASE SUMMARY Pro Se Claimant, Steven H. Dunkleberger, in a claim filed with the NaticiXAl Association of S^rurJ t* !•*»*— n< ?^l< ars , Inc. on November 9 • 1.99.0-. alleged... that Broker,. G ..&.... ,Scott_j5t Co,.,,. Inc. through JLts registere

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: I. Lewis Gordon, (Claimant) vs. Josephthal Lyon & Ross Incorporated and Joyce B. Docktor, (Respondents) Case Number: 00-04564 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, I. Lewis Gordon, hereinafter referred to as "Claimant": Michael J. Roberts, Esq., Roberts & Roberts, New York, NY. Respondents, Josephthal Lyon & Ross Incorporated n/k/a Josephthal

- N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Claimant:fs^ ) ) Nicholas Dale Mostert ) ) ) Case No. 90-03177 ) Mams of Resipondentrsl ) } Christopher Kane ) H. Turney Fletcher ) Thomas Bare, II ) Claimant , Nicholas Dale MDstert ( "tfostert " ) was pro s&. Respondents, Christopher Kane ("Kane"), H. Turney Fletcher ("Fletcher") and Thomas Bare II ("Bare