NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Russell M. Bennett Claimant(s) vs. 89-00921 Prudential-Bache Securities, Inc., Robert S.C. Peterson, Inc. and Peterson Financial Corp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Russell M. Bennett alleged that Respondent(s) Prudential-Bache Securities, Inc., Robert S.C. Peterson, Inc. and Peterson Financial Corp. fa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Sue Audeh Claimant ) vs. ) AWARD ) Shearson Lehman Hutton, Inc. Respondent ) CASE NO. 89-00920 SUMMARY OF ISSUES Claimant alleged that Respondent breached its fiduciary duty to her through the actions of the non-party broker, that her account was churned with the intent to defraud her, that her funds were placed in speculative investments, particula

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ALDO REMO, vs. DEAN WITTER REYNOLDS, INC. and MARTHA DOBRODZIEJ. Claimant, Case #89-00914 Award Respondents, Heard before the member of the Arbitration Panel: Arieh Leo Douer CASE SUMMARY This claim was filed with the NASD, Inc. on March 27, 1989. The hearing was conducted in Fort Lauderdale, Florida on January 11, 1990 with a total of one (

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donald E. Snyder Claimant(s) vs. 89-00912 Graystone Nash, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Donald E. Snyder alleged that Respondent(s) Graystone Nash, Inc. sold securities to Claimant with the knowledge that Respondent's impending change in corporate status would have an adverse effect on the market price

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George Prazak and Anna Prazak Claimant(s) vs. AWARD 89-00905 Robert Mulvihil and Kenneth Nightingale Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) George Prazak and Anna Prazak alleged that Respondent(s) Robert Mulvihil and Kenneth Nightingale made certain misrepresentations and engaged in faulty or late execution of Claimant's

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between\ Rose E. Phillips Claimant(s) vs. 89-00904 E.F. Button, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Rose E. Phillips alleged that Respondent(s) E.F. Hutton, Inc. misrepresented material facts as to Claimant's investment with Respondent. Respondent(s) denies Claimant's allegations. RELIEF REQUESTED Claimant (s) R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mams of Ohanian Partnership 89-00902 Name_ofRespondent ( s \ Sheetrson Lehman Hutton, Inc. Harold Parker This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 23, 1989. Claimant Ohanian Partnership (Ohanian) claims against Respondents E.F. Hutton (Hutton) and Harold Parker (Parker) as follows: O

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02600 Carl A. Utz, IRA, claimant vs. Fidelity Investments a/k/a Fidelity Brokerage Services, Inc., respondent. ATTORNEYS: Claimant Carl A. Utz ("Claimant"), appeared Pro Se., Basking Ridge, New Jersey. For Respondent Fidelity Investments a/k/a Fidelity Brokerage Services, Inc, ("Respondent"), Richelle S, Kennedy, Esq., FMR Corp., Legal Department, Boston, Mass

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Phyllis G. Garratt Claimant ) vs. . ) AWARD L. F. Thompson & Co., Inc., Respondents ) CASE NO. 89-00901 Brian H. Zilke and ) Michael J. Weinstein ) ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on August 28, 1989. Claimant alleged misrepresentation, unsuitability, and failure to supervise in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles F. Kipp 89-00896 Name of Respondentfs) Prudential-Bache Securities Inc. Mel Stumacher Heard before: Name Public/Industry Barry Goldman, Esq. Public Arbitrator Martin S. Hayden Public Arbitrator William Pilchak Industry Arbitrator This matter was initiated by a Statement of Claim filed with the National Association of Securit