NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Edward D. Eckert, ) Claimant, ) ) Case #89-00100 vs. ) Award Dean Witter Reynolds, Inc. and ) Jeffrey Jerome, ) Respondent. ) Heard before the members of the Arbitration Panel: Mr. Guthrie F. Crowe Mr. Thomas E. Swenson Mr. Carl J. Hegner CASE SUMMARY This claim was filed with the NASD, Inc. on January 17, 1989. The hearing was conduct

ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George F. Sandison and Marie A. Sandison vs. Claimant(s) 89-00098 Stuart-James Co., Inc. and Terry Brint McNeal Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) George F. Sandison and Marie A. Sandison alleged that Respondent(s) Stuart-James Co., Inc. and Terry Brint McNeal made misrepresentations. Respondent(s) maintain that the Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael J. Foy Claimant(s) vs. Van Kampen Merritt Respondent(s) NOTICE OF ARBITRATION AWARD 89-00097 CASE SUMMARY Claimant(s) Michael J. Foy alleged that Respondent(s) Van Kampen Merritt provided insufficient disclosure with respect ot prospective Respondent sponsored investors quality tax-exempt trust. Respondent(s) maintain that legal and adequa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between CAROL RUTBERG, Claimant, Case 189-00096 vs. Award STUART JAMES COMPANY, INC.. ) Respondent. ) Heard before the members of the Arbitration Panel: Mr. Roger C. Benson Allan J. Fedor, Esq. Mr. Willard E. Fawcett CASE SUMMARY This claim was filed with the NASD, Inc. on January 9, 1989. The hearing was conducted in Tampa, Florida on December

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Mae Batterson Claimant ) vs. ) AWARD Shearson Lehman Mutton, Inc. and Respondents ) CASE NO. 89-00095 Michael A. Goldstein ) Heard Before the Members of the Arbitration Panel: Frank R. Smith Bert Levy George N. Roy SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 9, 1989. Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William M. McCormick Claimant(s) vs. Blinder, Robinson & Co., Inc. vs. Mark Boyle Respondent(s) NOTICE OF ARBITRATION AWARD 89-00088 CASE SUMMARY Claimant(s) William M. McCormick alleged that Respondent(s) Blinder, Robinson & Co., Inc., and Mark Boyle made unauthorized transactions. Respondent(s) deny the claim of the Claimant and assert t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between _ of Claimant/ s > Robert M. & Sandra K. Payton 89-00087 Advest, Inc. Helen Rydzynski CASE SUMMARY Claimants alleged that Respondents placed the Claimants in low quality, high-risk, unsuitable investments and misrepresented the nature of the** investments to the Claimants. Respondents maintained that all investments for the Claimants were m

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant. Ralph A. Goddard, Trustee Under Ralph A. Goddard, M.D. Inc., Defined Benefit Pension Plan vs. 89-00086 Name of ffespQndent s Gene Morgan Financial North American Investment Corp. For Claimant: Kent M. Kellegrew, Esq., Nordman, Cormany, Hair & Conpton, Oxnard, California. For Respondent: Gene Morgan Financial: Arthu

4 * NASD DISPUTE RESOLUTION AWARD NASP DISPUTE RESOLUTION. INC. CASE: 99-02546 Jerome Anger and Shirley Venit Anger, claimants vs. Spencer-Winston Securities Corporation and US Clearing, respondents. ATTORNEYS; Claimants appeared Pro Se,, Brooklyn, NY. Respondent, Spencer-Winston Securities Corp., appeared through its President, Oscar Echman, New York, NY. For Respondent, US Clearing, appeared Charles Siegel, Esq., in house counsel for Fleet

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Albert R. & Rebecca L. Hatch, JTWROS Claimant(s) vs. Blinder, Robinson t Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-00084 CASE SUMMARY Claimants Albert R. & Rebecca L. Hatch, JTWROS alleged that Respondent Blinder, Robinson & Co., Inc. committed unauthorized transaction in Claimants account held with Respondent. Respondent denies C