NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Suzanne Godridge and Sandra R. Merryman, Claimants vs. E.F. Mutton & Co., Inc. (Shearson Lehman Mutton, Inc.), and Lynn Ridgway, Respondents Case *88-02427 Award CASE SUMMARY Claimant, Suzanne Godridne, alleges that Lynn Ridgway, the registered representative with E.F. Hutt'jn & Co., Inc., and its successor in interest, wrongfully induce

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02361 PaineWebber Incorporated, claimant vs. Derrick & Jennifer wooden, respondents. ATTORNEYS: For Claimant, PaineWebber Incorporated, ("Claimant"), Mr. Romaine L. Gardner, Esq., Staten Island, NY. For Respondents, Derrick & Jennifer Wooden, ("Respondent"), Derrick & Jennifer Wooden did not respond to Claimant's Statement of Claim. DATE FILED: May 24, 199

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between) BEVERLY R. REYNOLDS - ) Claimant ) v. ) Case No. 88-02425 THE STUART-JAMES CO., INC. ) AND JOHN SUTTON j Respondents ) CASE SUMMARY Claimant invested $50,000 with Respondents. Claimant alleges that Respondents were advised that the funds represented her retirement fund, that the principal was to be preserved and that the funds were to be placed in an IRA

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Rex Emmett Claimant ) ) vs. ) AWARD ) PaineWebber, Inc. and Respondents ) CASE NO. 88-02422 Alan Lertzman ) SUMMARY OF ISSUES This claim was filed with the National Association of Securities Dealers, Inc. ("NASD") on July 29, 1988, upon an order of the Superior Court of Santa Clara County, California, compelling arbitration on December 30, 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between BEAR STEARNS & CO., INC. Claimant and ALEXANDER ANDROS, ETHEL ANDROS and BLINDER, ROBINSON & CO., INC., Respondents, and ) ALEXANDER ANDROS and ETHEL, ANDROS, ) Cross Claimants and ) Third Party Claimants, ) and ) BLINDER, ROBINSON & CO., INC., } Respondent, Cross Claim Respondent, Counterclaimant Third Party Claimant and

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between EDWIN RAY MARCO, vs. BAIRD, PATRICK & CO., INC., Claimant, Respondent, Case 188-02416 Award Heard before the members of the Arbitration Panel: Allan M. Lerner, Esq. Norris L. Friedlander Douglas Delanoy, Jr. CASE SUMMARY This claim was filed with the NASD, Inc. on August 1, 1988. The hearings were conducted in Fort Lauderdale, Florida on

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) EDWIN RAY MARCO, ) Claimant, ) Case #88-02414 va . ) Award ) STEINBERG & LYMAN, ) Respondents. ) Heard before the members of the Arbitration Panel t Arnold Y. Steinberg, Esq. Leonard E. Pacun Anthony S, Paetro, Esq. CASK SUMMARY This claim vac filed with the NASD, Inc. on August 1, 1988. The hearing was conducted in Fort Lauderdale,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between ) Erma Schrader , ) Claimant ) ) Case #88-02413 vs. ) Award J. Timothy French ) Shearson Lehman Hutton, Inc. } Respondents ) CASE SUMMARY Claimant Erma Schrader alleges that Respondent J. Timothy French misrepresented the safety and yield of her investment. Claimant alleges that the recommendation was unsuitable. Claimant further alleges that Respon

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hinely L. Washington Claimant(s) vs. 88-02410 Merrill Lynch, Pierce, Fenner and Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Hinely L. Washington alleged that Respondent Merrill Lynch, Pierce, Fenner and Smith, Inc. did not pay the correct dividend on select high yield funds. Respondents maintain that the funds y

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Dorothy Zotta, individually and as personal ) representative of the Estate of Albert Zotta ) ) Claimants ) and ) A W A R D ) NASD No. Stifel Nicolaus & Company, Inc. and ) 88-02407 Norbert Krekeler ) Respondents ) ) CASE SUMMARY In a claim filed with the NASD on or about July 27, 1988, Claimant Dorothy Zotta, individually and as t