NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Mae Batterson Claimant ) vs. ) AWARD Shearson Lehman Mutton, Inc. and Respondents ) CASE NO. 89-00095 Michael A. Goldstein ) Heard Before the Members of the Arbitration Panel: Frank R. Smith Bert Levy George N. Roy SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 9, 1989. Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William M. McCormick Claimant(s) vs. Blinder, Robinson & Co., Inc. vs. Mark Boyle Respondent(s) NOTICE OF ARBITRATION AWARD 89-00088 CASE SUMMARY Claimant(s) William M. McCormick alleged that Respondent(s) Blinder, Robinson & Co., Inc., and Mark Boyle made unauthorized transactions. Respondent(s) deny the claim of the Claimant and assert t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between _ of Claimant/ s > Robert M. & Sandra K. Payton 89-00087 Advest, Inc. Helen Rydzynski CASE SUMMARY Claimants alleged that Respondents placed the Claimants in low quality, high-risk, unsuitable investments and misrepresented the nature of the** investments to the Claimants. Respondents maintained that all investments for the Claimants were m

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant. Ralph A. Goddard, Trustee Under Ralph A. Goddard, M.D. Inc., Defined Benefit Pension Plan vs. 89-00086 Name of ffespQndent s Gene Morgan Financial North American Investment Corp. For Claimant: Kent M. Kellegrew, Esq., Nordman, Cormany, Hair & Conpton, Oxnard, California. For Respondent: Gene Morgan Financial: Arthu

4 * NASD DISPUTE RESOLUTION AWARD NASP DISPUTE RESOLUTION. INC. CASE: 99-02546 Jerome Anger and Shirley Venit Anger, claimants vs. Spencer-Winston Securities Corporation and US Clearing, respondents. ATTORNEYS; Claimants appeared Pro Se,, Brooklyn, NY. Respondent, Spencer-Winston Securities Corp., appeared through its President, Oscar Echman, New York, NY. For Respondent, US Clearing, appeared Charles Siegel, Esq., in house counsel for Fleet

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Albert R. & Rebecca L. Hatch, JTWROS Claimant(s) vs. Blinder, Robinson t Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-00084 CASE SUMMARY Claimants Albert R. & Rebecca L. Hatch, JTWROS alleged that Respondent Blinder, Robinson & Co., Inc. committed unauthorized transaction in Claimants account held with Respondent. Respondent denies C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Elodie E. Golden, Trustee Claimant(s) vs. 89-00082 Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Elodie E. Golden, Trustee alleged that Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. sold unsuitable investments to Claimant. Respondent(s) denies Claimant's allegations.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between INTEGRATED RESOURCES EQUITY CORP., Claimant, vs. Case 189-00080 Award HENRY F. SIMMS and ELINOR SIMMS, Respondents. Heard before the members of the Arbitration Panel: Leonard H. Davidson, Esq. Judy Avey Leslie Bishop CASE SUMMARY This claim was filed with the NASD, Inc. on January 10, 1989. The hearing was conducted in Fort Lauderdale, F

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Mary Ann Ervin, Trustee ) Claimant(s) ) and ) CASE NO. 89-00078 Shearson Lehman Mutton, Inc. ) Respondent(s) CASE SUMMARY In a claim filed with the NASD on or about January 13, 1989, Mary Ann Ervin, Trustee ("Claimant") alleged that Shearson Lehman Hutton, Inc. ("Respondent") failed to sell and liquidate the assets held by Respondent in an accoun

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward J. O'Leary, Jr. Claimant(s) vs. First Affiliated Securities, Inc. vs. Bennie Yount Respondent(s) NOTICE OP ARBITRATION AWARD 89-00075 CASE SUMMARY Claimant(s) Edward J. O'Leary, Jr. alleged that Respondent(s) First Affiliated Securities, Inc. made unauthorized transactions. Respondent(s) maintain that Claimant produced no evidence of