N.A.S.D. AWARD- NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl Scott W. and Salome Z. Johnson 90-02914 Ttomo nf Poanrinrtonl-f g } PaineWebber, Inc. James Grotz Claimants Scott W. and Salone Z. Johnson were represented by Gregory L. Wilmss, Esq. of Briol & Wilmes, Minneapolis, Minnesota. Respondents Painewebber, Inc. and James Grotz ware represented by Edward G. Werner, Esq. and Pa

N.A.S.D. AWARD NATIONAL ASSOCIAXICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ClaiTnants Dennis H. and Kathy D. Standridge 90-02902 Name of Respondents Tjahman Button, ISC. Basil Hoag and Unidentified employees or representatives of Shearson trainman Brothers, Inc. For Claimant: W, Kirby Lockhart, Esq., of Mitchell, Williams, Selig & Thicker. For Respoodents: Scott E. Daniel, Esq. of iriibur", naijinnn,.

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Bet^eri ) ) Name of Mack Alexander o Dean Witter Reynolds, Inc. Charles Hershtovitz National Association of Securities DeaJen, Inc. One East Sroward Boulevard Suite 1000 Ft. LauderdaJe, Florida 33301 (305) 522-7391 Case No.90-02900 For Clainent, Ifeck Alexander ("Alexander"): DTD For Respondents, Dean Witter Reyn

N.A.S.D. AWARD ASSOCTOTCN OF j-iMimi'i'iiag DERIVES In the Matter of the Arbitration Between Of Rphwra S. Red 90-02897 Name of Respgnfjgits thcnas F. White &. Co. Inc.; Stephen H. Gunnels Fbr Claimant: pfJwv** S. Bed was represented by Andrew R. Harvin, Esq. of Doyle, Reed, Restrepo, Barvin & Rabbins, located in Houston, Texas. For Respondents: annas P. White & Co., Inc. and Stephen H. Gunnels ware represented by Patrick Baldwin, Esq. of

In the Matter of the Arbitration Between Names of Claimants Laurence and Ellen Ginsburg Case No. 00-04540 Names of Respondents Salomon Smith Barney, Inc. Michael Logan Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Laurence and Ellen Ginsburg, hereinafter collectively referred to as "Claimants": L. Van Stillman, Esq. of L. Van Stitlman, P.A., Delray Beach, Florida. For Salomon Smith Barney, Inc. ("Smith Barney") and Michael Logan ("

Arbitration - «.A.a.U. AWAkU National Association of Securities Dealers, Inc. NATIONAL ASSOCIATION OF SBJUKITIBS DEALERS NASD Financial Center _ '__ _ ~ 33 Whitehall Street In the Matter of the Aibitration Between Name of Kay Jean frfcNally 90-02895 North. American Investinent Corp. Barbara L. Moran Nafcridge Securities, Inc. Gene Morgan Gene Morgan Financial Anchor National Financial Services* Inc. For Claimant: Dana A. Dona

N.A.S.D, ASSOCIATION CF SHUJKLTIKS DEALERS In the ttstter of the AttxJtraflnri Between E. Yaretell 190-02890 and Maccill Lynch, Pierce, Fenner & Smith, inc. -Respondent and >. Yancteli Responcfents Claimant Mary E. Yandell appeared and was repcssentad by Michael Respondent Merrill Lynch, Pierce, Penner & Snith, Inc, _ ^^ its corporate representative Marie Dutton, and was represented by TOdd A- Zuctoerbced, Esq, ^ . __^j Third Par

N.A.S.D. NKTICNRIi ASSOCIATION OF SfcXJURlTIKS DEALERS In the Matter of the Arbitration Between. Kingsley B. EHingson and Nbnra E. Ellingson and 90-02888 Jerol L. O'Hagan, Pagel, Inc., Equity Securities Trading Company et al Claimants Kingsley B. Ellingson «"** Nbnna E. EHInggcn appeared and were represented by Donald Fraley, Esq. of Wayzata, Minnesota. Respondent Sunnit Investment Corporation was represented by Robert E. Abrams, Esq. of Summit Inve

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Florence S. Reynolds Claimant AWARD vs. Case #90-02885 Heard by: Rob McLaughlin, Esq. Public Arbitrator Marshall Passman Public Arbitrator Sidney B. Wachtel Industry Arbitrator REPRESENTATION The Claimant was represented by Joseph L. Bianculli, Esq. and the Respondent was represented by Charles R. Mills, Esq. of the law firm of Lord Day & Lo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-02879 AWARD In the Matter of the Arbitration Between John L. and Wanda C. Bunker Claimants vs . Bateman Eichler, Hill Richards, Inc. Respondents CASE SUMMARY Pro Se Claimants, John L, and Wanda C. Bunker, in a claim filed with the National Association of Securities Dealers, Inc. on October 16, 1990, alleged that their account executive, Ramona Wood at Bateman Eichler, Hill