NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD FBMC Financial Corp., dba Claimant ) First Bankers Mortgage Co. CASE #88-01359 vs. E.F. Mutton Mortgage Corp. Respondents and Shearson Lehman Hutton SUMMARY OF ISSUES This case was filed on April 28, 1988. claimants alleged that Claimant and Respondents entered into an agreement whereby Respondents agreed to purchase $15 million in loans from Claimant and that Respondents refused to perf

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Paul X. Savageau Claimant } ) Case #88-01358 ) vs. ) Award ) First Affiliated Securities, Inc. ) James H. Blackman Respondents ) The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in submissions to arbitration signed by the Claimant on

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George S.- Wright Claimant(a) V8, 88-01356 O.K. Thieleke Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) George S. Wright alleged that Respondent(s) O.K. Thieleke Securites, Inc. misrepresented material facts as to Claimant's investment with Respondent. Respondents) denies Claimant's allegations. RELIEF REQU

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Leo Feingold Claimant(a) vs. 88-01350 Doug Brown and Blinder/ Robinson & Co., Inc. Respondent(B) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Leo Feingold alleged that Respondents Doug Brown and Blinder, Robinson & Co., Inc. negligently mishandled Claimant account held with Respondents. Respondents denies Claimant allegations. RELIEF

APRJ6RECD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among Jenrose Miller Claimant(s) Case #88-01343 vs. Award E.F. Rutton, Inc., Edmund Nasiefe and Thomas Rardin ) Respondent< s) ) CASE SUMMARY Claimant, Jenrose Miller, alleged in her April 21, 1988, claim (Claimant's Exhibit I) that in 1983 the Respondents, E. F. Hutton, Edmund Nasiefe and Thomas Hardin, placed in her a speculative

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) ) ) Award William G. Teufel Claimant ) ) ) NASD No. 88-01337 vs. ) Pennsylvania Securities Co. Respondents ) Marvin Raff ) ) SUMMARY OF ISSUES This case was filed on April 26, 1988. Claimant alleged negligence and failure to execute in the sale and purchase of mutual funds. Respondents denied the a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co. Claimant(s) vs. 88-01330 Melissa Ann Newman Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Charles Schwab & Co. alleged that Respondent (s) Melissa Ann Newman is indebted to Claimant on a book account. Respondent did not defend. RELIEF REQUESTED Claimant(s) Charles Schwab & Co. requested damages of Eig

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Hatter of the Arbitration Between Kathryn A. Dunn Claimant(s) vs. 88-01327 Stoneridge Securities, Inc. and Ronald Wheeler, Sr. Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Kathryn A. Dunn alleged that Respondent(s) Stoneridge Securities, Inc. and Ronald Wheeler, Sr. failed to execute a trade. Respondent(s) did not respond. RELIEF REQUESTED Claimant (s

N.A.S.D. AWARD NATIONAL AC^JCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o Stephen Strachan 88-01325 Name QfFtesppndentjs) North American Investment Corporation CRSE SUMMARY Claimant Stephen Strachan alleged that Respondent North American Investment Corporation fraudulently misrepresented an investment in North American Realty Trust IV property and used Claimant's monies in an unauthorized manner. Responden

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Prudential-Bache Securities, Inc. vs. Claimant(s) William and Lucille Lawrence Respondent(s) NOTICE OF ARBITRATION AWARD 88-01320 The Arbitrator, Albert A. Rapoport, selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on April