N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Roger A. Arkebauer, Claimant 89-03420 Graystone Nash, Inc., Thomas Duane Binning, Patrick Comerford, and Thomas Vincent Ackerly, Respondents In a claim filed with the NASD on or about December 6, 1989, Roger A. Arkebauer ("Claimant") alleged that Thomas Binning ("Binning") made false and misleading statements of material facts and faile

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Salem Volunteer Fire Department, Inc. Claimant vs. McGinn, Smith & Co., Inc. VS. Robert Hunter Respondent Third-Party Respondent Case No. 89-03415 AWARD CASE SUWARY Claimant Salem Volunteer Fire Department, Inc. alleged that Respondent McGinn, Smith & Co., Inc. breached its contractual obligations to the Claimant by failing to proper

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Kathleen M. Borgstrom, ) individually and on ) behalf of, Marie C. Love, ) Julie M. Borgstrom, ) James P. Borgstrom, Mary S. ) Borgstrom, Anne L. Borgstrom, ) and John D. Borgstrom Claimants ) vs. ) AWARD Dean Witter Reynolds, Inc. ) James Tallen Respondents ) CASE NO. 89-03412 SUMMARY OF ISSUES Claimants alleged Respondents misrepresented the

N.A.S.D. AWARD tlATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Amelia M. Swazey 89-03409 , inc. Ttanas Cechini Claimant alleged that Respondents made recommendations to purchase highly risky, speculative securities that were unsuitable Cor the Claimant who had no prior investment «xperienee. Claimant further alleged that the Respondents churned her account and caused the account to be leveraged wit

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael J. Weymier Claimant(s) ARBITRATION vs. AWARD 89-03408 Ablestrong Securities d/b/a First Midwest Securities, Inc. and Drake & Co. investment Services Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Michael J. Weymier alleged that Respondent(s) Ablestrong Securities d/b/a First Midwest Securities, Inc. and Drake & Co. Investment Service

Arbitration National Association of Securities Oeatem, Inc. 425 California St.. Rnv 1400 San Francisco. CA 94104 (415) 781-3343 FAX: (415) 362-9946 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mama of Joseph K. Bradley 89-03405 Name of Respondent I s ) University Equities Corp. TSSTIRS This case was filed with the National Association of Securities Dealers, Inc. ("

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward E. Atiyeh Claimant(s) ARBITRATION vs. AWARD 89-03403 E.F. Hutton fr Co. (Shearson Lehman Hutton, Inc.} Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Edward E. Atiyeh alleged that Respondent(s) E.F. Hutton & Co. (Shearson Lehman Hutton, Inc.) owes Claimant for missing dividend. Respondent did not respond. RELIEF REQUESTED Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gregory LeCerff Claimant(s) vs. 89-03396 Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gregory LeCerff alleged that Respondent(s) Blinder, Robinson & Co., Inc. misrepresented material facts as to Claimant's investment with Respondent. Respondent denies Claimant's allegations. RELIEF REQUESTED

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Andrew M. and Nancy J. Germain vs. Fidelity Brokerage Services, Inc. Claimant(s) Respondent(a) NOTICE OF ARBITRATION AWARD 89-03383 CASE SUMMARY Claimant(s) Andrew M. and Nancy J. Germain alleged that Respondent(s) Fidelity Brokerage Services, Inc. provided an erroneous quote to induce the purchase of an option and then failed to settl

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) DAPHNE K. VIEROW ) Claimant ) and ) ) CASE NO. 89-03378 PIPER, JAFFRAY & HOPWOOD, INC. AND ) LYNN SANEM ) Respondents ) CASE SUMMARY Daphne K. Vierow ("Claimant") alleged that Lynn San«n r a registered representative of Piper, Jaffray & Hopwood, Inc. (Sanem and Piper are collectively referred to herein as "Respondent") recommended the