NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Edward R. Neuman Claimant v. First of Michigan Corporation Respondent First of Michigan Corporation v. Third Party Claimant Transamerica Fund Distributors, Inc., formerly Criterion Distributors, Inc. Third Party Respondent(s) ) Case No. 89-00895 CASE SUMMARY Edward Neuman ("Claimant") alleged that First of Michigan Corporation ("Respondent")

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Peter A. Crebbin Claimant ) ) vs. ) AWARD ) Steinberg & Lyman and Respondents ) CASE NO. 89-00894 Brendan King } SUMMARY OF ISSUES This case was filed on March 21, 1989. Claimant Peter A. Crebbin alleges that Steinberg & Lyman through their employee Brendan King failed to follow Claimant's instructions regarding transactions in common stocks

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gene & Norma Bottenhoff Claimant(s) vs. AWARD 89-00891 Prudential-Bache Securities, Inc. and Mark Patton Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimants Gene & Norma Bottenhoff alleged that Respondents Prudential-Bache Securities, Inc. and Mark Patton failed to disclose the actual risks involved with investments in options. Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between e of niaimants Joseph N. Zenga 89-00886 of Respondent f si Shearson Lehman Brothers, Inc. Robin J. Russo Heard before: Name Public/Industry Cornelius J. ItAuliffe, Esq. Public Arbitrator William P. Hurley Public Arbitrator Stephen Cesso, Esq. Industry Arbitrator This matter was initiated by a Statement of Claim filed with the Nation

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bruce A. Bode Claimant(s) vs. 89-00878 Graystone Nash, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Bruce A. Bode alleged that Respondent(s) Graystone Nash, Inc. committed fraud with respect to account Claimant held with Respondent. Respondent(s) denies Claimant's allegations. RELIEF REQUESTED Claimant (s) Bruce A. B

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Arthur McCollum Claimant(s) vs. AWARD 89-00877 E.F. Hutton, Shearson Lehman Brothers and .James Kenney Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant (s) Arthur McCollum alleged that Respondent (s) E.F. Hutton, Shearson Lehman Brothers and James Kenney made unauthorized trades and mismanaged his account. Respondent(s) maintain that they

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maine of n aimantf si 1 Terry Hill Name of Respondent f s > time wt MfffcMMan.ia> Dean Witter Reynolds, Inc. Bill Elder » -------- ~ " '66J 9 J NVf CASE 5MMARY / In a Statement of Claim filed with the KASD on March 21, 1989, Claimant Terry Hill alleged that Respondents engaged in acts as follows: 1. Made

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Dean Witter Reynolds, Inc. Claimant ) vs. _- ) AWARD Ronald Baldwin Respondent ) CASE NO. 89-00870 Heard Before the Members of the Arbitration Panel: Kent Mastores Marion Sperry Robertson Rudy Thorwirth SUWARY OF ISSUES This case was filed on March 23, 1989. Claimant alleged that Respondent's account incurred margin calls, that Respondent failed to co

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02598 Charles Schwab & Company, Inc., claimant vs. Thomas Daddona, respondent. ATTORNEYS: For Claimant, Charles Schwab & Company, Inc., appeared in-house counsel, Richard A. Karoly, Esq., San Francisco, California. Respondent Thomas Daddona did not respond to the Statement of Claim. DATE FILED: 06/07/1999 CASE SUMMARY: Claimant alleged that on or about Mar

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Kenneth Felix Edgecombe Case No. 00-01024 Names of Respondents First Union Brokerage Services, Inc. Gregory S. Daniel REPRESENTATION OF PARTIES For Kenneth Felix Edgecombe ("Edgecombe"), hereinafter referred to as "Claimant": Jay Rothlein, Esq., of Miami Beach, Florida and, after a notice of co-counsel was received on May 4, 2000, Darren C. Blum