NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Claus Burwick Claimant(s) vs. Merrill Lynch, Pierce, Fenner and Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-02370 The Arbitrator, Kent Mastores, selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the Claimant on July 11, 1988

FEB 1 ? RE NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bertha Hudak vs. Joseph Friscia Claimant Respondent AWARD #88-02435 Case Summary Claimant Bertha Hudak alleged that Respondent executed unauthorized transactions of connon^itodc in her account and failed to correct the unauthorized trades"wfien she gave instructions to do so. Respondent Joseph Friscia did not file a Statement of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ronald R.J. and Janet M. Chabot vs. Cla.itnimt(a) 88-02434 Grayatone Nash, Inc. Respondent(a) j NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Ronald R.J. and Janet M. Chabot alleged that Respondent(s) Graystone Nash, inc. made misrepresentations. Respondent(a) maintain that Claimant is simply a disgruntled customer. RELIEF REQUESTED

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerard H. Maher Claimant(s) vs. 88-02428 George Ulrich - First Eagle Inc. Respondent(s} NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Gerard M. Maher alleged that Respondents George Ulrich and First Eagle Inc., failed to execute the sale of Mogul International stock. Respondents maintain that order was not placed during market hours and could

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Suzanne Godridge and Sandra R. Merryman, Claimants vs. E.F. Mutton & Co., Inc. (Shearson Lehman Mutton, Inc.), and Lynn Ridgway, Respondents Case *88-02427 Award CASE SUMMARY Claimant, Suzanne Godridne, alleges that Lynn Ridgway, the registered representative with E.F. Hutt'jn & Co., Inc., and its successor in interest, wrongfully induce

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02361 PaineWebber Incorporated, claimant vs. Derrick & Jennifer wooden, respondents. ATTORNEYS: For Claimant, PaineWebber Incorporated, ("Claimant"), Mr. Romaine L. Gardner, Esq., Staten Island, NY. For Respondents, Derrick & Jennifer Wooden, ("Respondent"), Derrick & Jennifer Wooden did not respond to Claimant's Statement of Claim. DATE FILED: May 24, 199

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between) BEVERLY R. REYNOLDS - ) Claimant ) v. ) Case No. 88-02425 THE STUART-JAMES CO., INC. ) AND JOHN SUTTON j Respondents ) CASE SUMMARY Claimant invested $50,000 with Respondents. Claimant alleges that Respondents were advised that the funds represented her retirement fund, that the principal was to be preserved and that the funds were to be placed in an IRA

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Rex Emmett Claimant ) ) vs. ) AWARD ) PaineWebber, Inc. and Respondents ) CASE NO. 88-02422 Alan Lertzman ) SUMMARY OF ISSUES This claim was filed with the National Association of Securities Dealers, Inc. ("NASD") on July 29, 1988, upon an order of the Superior Court of Santa Clara County, California, compelling arbitration on December 30, 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between BEAR STEARNS & CO., INC. Claimant and ALEXANDER ANDROS, ETHEL ANDROS and BLINDER, ROBINSON & CO., INC., Respondents, and ) ALEXANDER ANDROS and ETHEL, ANDROS, ) Cross Claimants and ) Third Party Claimants, ) and ) BLINDER, ROBINSON & CO., INC., } Respondent, Cross Claim Respondent, Counterclaimant Third Party Claimant and

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between EDWIN RAY MARCO, vs. BAIRD, PATRICK & CO., INC., Claimant, Respondent, Case 188-02416 Award Heard before the members of the Arbitration Panel: Allan M. Lerner, Esq. Norris L. Friedlander Douglas Delanoy, Jr. CASE SUMMARY This claim was filed with the NASD, Inc. on August 1, 1988. The hearings were conducted in Fort Lauderdale, Florida on