NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Meridian Strategic Investments, L.P. Claimant(s) vs. The Ohio Company Respondent(s NOTICE OF ARBITRATION AWARD 89-02603 CASE SUMMARY Claimant(s) Meridian Strategic Investments, L.P. alleged that Respondent(s) The Ohio Company overcharged commissions on options transactions in violation of an agreement between Claimant and Respondent. Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Suzanne Swain Claimant(s) vs. Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-02602 CASE SUMMARY Claimant(s) Suzanne Swain alleged that Respondent(s) Blinder, Robinson & Co., Inc. executed a sell transaction in Claimant's account without authorization and against her wishes. Respondent(s) maintain that the recommenda

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James Glorvig c/f Trevor O'Neil, UGMACA Claimant(s) vs. 89-02599 Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) James Glorvig c/f Trevor O'Neil, UGMACA alleged that Respondent(s) Blinder, Robinson & Co., Inc. sold his common stock in Comtech, Inc. at less than the then current price quoted in t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Georgina A. Davitt vs. Claimant Shearson Lehman Brothers, Inc. d/'b/a Shearson Lehman Hutton, Inc. Donald R. McKay Respondents CASE =89-02598 AWARD CASE SUMMARY Claimant asserted Respondents made unsuitable investments, breached fiduciary duties in their handling and supervision of her account, churned it solely to generate commissions, and

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Olivia Rhoades, (Claimant) vs. Cindy R. Kolb d/b/a Kolb Investments, Patterson Icenogle, Inc., Southwest Securities, Inc., Mark Douglas Icenogle, Donald A. Buchholz, Sabra Lougene Hawkings, David Meyer Glatstein, Brian Whitt, S.W.S. Financial Services, and Bette J. Medley, (Respondents). Case Number: Hearing Site: 99-02825 Houston, Texas REPRESENTATION OF PARTIES Claim

Arbitration National Association of ' Securities Dealers, Inc. Suite 1680 Three First National Plaza M * c -» awaon Chicago, IL 60602 N.A.S.D. AWARD (312)899-4440 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvsen The Northern Trust Ccnpany 89-02595 Name of neap Mortgage Government Securities Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD")

Arbitration NASD AWARD National Associatio N.A.b.D. AWARD Sacuritias Daatart. Suite 1680 Three First Nations NATIONAL ASSOCIATION OF SECURITIES DEALERS Chicago, II 60602 (312) 899-4440 In the Matter of the Arbitration Between Marie Ward DeBeer, Marie Ward DeBeer Trust 89-02594 The Chicago Corporation Jonathan S. Raclin CASE In a claim filed on or about, September 18th, 1989, Claimant Marie W. DeBeer as Trustee on behalf of the Ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Narhari J. Patel Claimant(s) vs. 89-02593 Kennedy, Cabot & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Narhari J. Patel alleged that Respondent(s) Kennedy, Cabot & Co. stopped all buying activities in Claimant's margin account for no reason. Respondent(s) maintain that the Claimant's allegations are without merit and

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kenneth H. Highara Claimant vs. AWARD #89-02590 Thomas James Associates Respondent Case Summary Claimant alleged that Respondent negligently recommended investments in common stock and warrants and misrepresented these securities to him. Claimant further alleged that these negligent misrepresentations resulted in losses to his account. Respondent main

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ERVIN L. KNUTSON ) Claimant ) and ) ) CASE NO. 89-02588 GEORGE WASSON AND HEINER & STOCK, INC. ) Respondents ) CASE SUMMARY In a claim filed with the NASD on or about September 18, 1989, Claimant Ervin L. Knutson ("Claimant") alleged in Count I that Respondents George Wasson ("Wasson") and Heiner & Stock, Inc. ("Heiner") (collectively as "Resp