NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George Prazak and Anna Prazak Claimant(s) vs. AWARD 89-00905 Robert Mulvihil and Kenneth Nightingale Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) George Prazak and Anna Prazak alleged that Respondent(s) Robert Mulvihil and Kenneth Nightingale made certain misrepresentations and engaged in faulty or late execution of Claimant's

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between\ Rose E. Phillips Claimant(s) vs. 89-00904 E.F. Button, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Rose E. Phillips alleged that Respondent(s) E.F. Hutton, Inc. misrepresented material facts as to Claimant's investment with Respondent. Respondent(s) denies Claimant's allegations. RELIEF REQUESTED Claimant (s) R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mams of Ohanian Partnership 89-00902 Name_ofRespondent ( s \ Sheetrson Lehman Hutton, Inc. Harold Parker This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 23, 1989. Claimant Ohanian Partnership (Ohanian) claims against Respondents E.F. Hutton (Hutton) and Harold Parker (Parker) as follows: O

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02600 Carl A. Utz, IRA, claimant vs. Fidelity Investments a/k/a Fidelity Brokerage Services, Inc., respondent. ATTORNEYS: Claimant Carl A. Utz ("Claimant"), appeared Pro Se., Basking Ridge, New Jersey. For Respondent Fidelity Investments a/k/a Fidelity Brokerage Services, Inc, ("Respondent"), Richelle S, Kennedy, Esq., FMR Corp., Legal Department, Boston, Mass

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Phyllis G. Garratt Claimant ) vs. . ) AWARD L. F. Thompson & Co., Inc., Respondents ) CASE NO. 89-00901 Brian H. Zilke and ) Michael J. Weinstein ) ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on August 28, 1989. Claimant alleged misrepresentation, unsuitability, and failure to supervise in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles F. Kipp 89-00896 Name of Respondentfs) Prudential-Bache Securities Inc. Mel Stumacher Heard before: Name Public/Industry Barry Goldman, Esq. Public Arbitrator Martin S. Hayden Public Arbitrator William Pilchak Industry Arbitrator This matter was initiated by a Statement of Claim filed with the National Association of Securit

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Edward R. Neuman Claimant v. First of Michigan Corporation Respondent First of Michigan Corporation v. Third Party Claimant Transamerica Fund Distributors, Inc., formerly Criterion Distributors, Inc. Third Party Respondent(s) ) Case No. 89-00895 CASE SUMMARY Edward Neuman ("Claimant") alleged that First of Michigan Corporation ("Respondent")

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Peter A. Crebbin Claimant ) ) vs. ) AWARD ) Steinberg & Lyman and Respondents ) CASE NO. 89-00894 Brendan King } SUMMARY OF ISSUES This case was filed on March 21, 1989. Claimant Peter A. Crebbin alleges that Steinberg & Lyman through their employee Brendan King failed to follow Claimant's instructions regarding transactions in common stocks

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gene & Norma Bottenhoff Claimant(s) vs. AWARD 89-00891 Prudential-Bache Securities, Inc. and Mark Patton Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimants Gene & Norma Bottenhoff alleged that Respondents Prudential-Bache Securities, Inc. and Mark Patton failed to disclose the actual risks involved with investments in options. Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between e of niaimants Joseph N. Zenga 89-00886 of Respondent f si Shearson Lehman Brothers, Inc. Robin J. Russo Heard before: Name Public/Industry Cornelius J. ItAuliffe, Esq. Public Arbitrator William P. Hurley Public Arbitrator Stephen Cesso, Esq. Industry Arbitrator This matter was initiated by a Statement of Claim filed with the Nation