NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William C. Roberts Claimant(s) vs. Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OP ARBITRATION AWARD 89-00983 CASE SUMMARY Claimant(s) William C. Roberts alleged that Respondent(s) Blinder, Robinson & Co., Inc. did not liquidate stock in a timely manner. Respondent(s) maintain that Claimant did not request a sale transaction. RELIEF REQU

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Armand Trepanier, Jr. Claimant(s) vs. Don Arbital Respondent(s) NOTICE OF ARBITRATION AWARD 89-00982 CASE SUMMARY Claimant(s) Armand Trepanier, Jr. alleged that Respondent(s) Don Arbital has withheld proceeds from the sale of stock. Respondent maintains that Claimant's expectations of the price the stock commanded were excessive. RELIEF RE

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Judith Golan Claimant vs. Robb Peck McCooey Clearing Corporation Packard Group Henry Val Respondents CASE #89-00979 AWARD CASE SUMMARY Claimant alleges Respondents wrongfully had funds withheld and withdrawn from her account for tax purposes despite her filing the requisite tax form. Further, the wrongful withholding precipitated an unnecess

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William J. Frazer, III Claimant (s-) vs. PaineWebber, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-00978 "~ CASE SUMMARY Claimant(s) William J. Frazer, III alleged that Respondent(s) PaineWebber, Inc. made an error in his account. Respondent(s) did not respond. RELIEF REQUESTED Claimant(s) William J. Frazer, III requested damages of Four

Award NASD Regulation. Inc. In the Matter of the Arbitration Between: Derek J. Likowski, Claimant vs. Mrs. David Pearse "Kim" and NatCity Investments, Inc., Respondents. Case Number: 99-02618 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Derek J. Likowski, hereinafter referred to as "Claimant", was represented by Carter R. Dodge, Esq., of Cleveland, Ohio. Respondents, Mrs. David Pearse "Kim" ("Pearse") and NatCity Investments, In

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edgar Lepage Claimant(s) vs. 89-00977 Don Arbital Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Edgar Lepage alleged that Respondent(s) Don Arbital failed to execute a sell order. Respondent(s) maintain that Claimant requested that all his positions be sold at "dream-like" prices. Respondent then advised Claimant that he s

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between r Arthur B. and Myran R. McCollum Claimant(s) vs. AWARD 89-00976 Prudential-BachG Securities, Inc. and Ron Mark Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) Arthur B. and Myran R. McCollum alleged that Respondent(s) Prudential-Bache Securities, Inc. and Ron Mark mishandled Claimants' brokerage account held with Respondent.

Region. Volume. Number, NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. J. Ronald Clark i r Respondent ) AWARD CASE NO. 89-00975 SUMMARY OF ISSUES This case was filed on March 30, 1989. Claimant alleged that Respondent breached the terms of an account executive credit facility agreement and promissory note dated February 8, 1988, by failing

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David E. Selby and JoAnn B. Selby JTWROS Claimant(s) vs. 89-00974 Power Securities Corp. and Merlin Hoving Respondents) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) David E. Selby and JoAnn B. Selby JTWROS alleged that Respondent(s) Power Securities Corp. and Merlin Hoving misrepresented material facts as to Claimants' investment w

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert W. Vieira Claimant(s) vs. 89-00972 Don Arbital Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert W. Vieira alleged that Respondent(s) Don Arbital refused to execute a sell order by Claimant and refused to send a check to Claimant for the proceeds of the sale requested. Respondent maintains that he was not Claiman