NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hong-Ji Hu Claimant vs. Stuart-James Co. Respondents OATH AND AWARD OF ARBITRATOR 89-02613 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or related by blood or marriage to any of the parties

N.A.S.D. ANARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bernard & Margaret Balona CASE #89-02606 Allied Capital Group, Inc. Willard (Rick) MbGaffick Heard before the Arbitrator: John P. Cullem, Esq. CASE SDHKKT This claim was filed with the National Association of Securities, Inc. (NASD) on September 18,1989. The hearing was conducted in Tampa, Florida on October 17, 1990, with a total of one se

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William R. Fry Claimant(s) vs. The Ohio Company Respondent(s) AMENDED NOTICE OF ARBITRATION AWARD 89-02605 THIS NOTICE OF ARBITRATION AWARD SUPERCEDES THE NOTICE OF ARBITRATION AWARD DATED JANUARY 8, 1990 CASE SUMMARY Claimant(s) William R. Fry alleged that Respondent(s) The Ohio Company overcharged commissions on exercise of options viola

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Progressive United Corporation Claimant(s) vs. 89-02604 The Ohio Company Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Progressive United Corporation alleged that Respondent^s) Tne Ohio Company overcharged options brokerage commissions in violation of an existing verbal and written contract between Claimant and

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Meridian Strategic Investments, L.P. Claimant(s) vs. The Ohio Company Respondent(s NOTICE OF ARBITRATION AWARD 89-02603 CASE SUMMARY Claimant(s) Meridian Strategic Investments, L.P. alleged that Respondent(s) The Ohio Company overcharged commissions on options transactions in violation of an agreement between Claimant and Respondent. Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Suzanne Swain Claimant(s) vs. Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-02602 CASE SUMMARY Claimant(s) Suzanne Swain alleged that Respondent(s) Blinder, Robinson & Co., Inc. executed a sell transaction in Claimant's account without authorization and against her wishes. Respondent(s) maintain that the recommenda

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James Glorvig c/f Trevor O'Neil, UGMACA Claimant(s) vs. 89-02599 Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) James Glorvig c/f Trevor O'Neil, UGMACA alleged that Respondent(s) Blinder, Robinson & Co., Inc. sold his common stock in Comtech, Inc. at less than the then current price quoted in t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Georgina A. Davitt vs. Claimant Shearson Lehman Brothers, Inc. d/'b/a Shearson Lehman Hutton, Inc. Donald R. McKay Respondents CASE =89-02598 AWARD CASE SUMMARY Claimant asserted Respondents made unsuitable investments, breached fiduciary duties in their handling and supervision of her account, churned it solely to generate commissions, and

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Olivia Rhoades, (Claimant) vs. Cindy R. Kolb d/b/a Kolb Investments, Patterson Icenogle, Inc., Southwest Securities, Inc., Mark Douglas Icenogle, Donald A. Buchholz, Sabra Lougene Hawkings, David Meyer Glatstein, Brian Whitt, S.W.S. Financial Services, and Bette J. Medley, (Respondents). Case Number: Hearing Site: 99-02825 Houston, Texas REPRESENTATION OF PARTIES Claim

Arbitration National Association of ' Securities Dealers, Inc. Suite 1680 Three First National Plaza M * c -» awaon Chicago, IL 60602 N.A.S.D. AWARD (312)899-4440 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvsen The Northern Trust Ccnpany 89-02595 Name of neap Mortgage Government Securities Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD")