NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James and Melanie Stone Claimant(s) vs. 89-03293 First Alliance Securities, Inc., William Lincoln and Dawn Dailey Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) James and Melanie Stone alleged that Respondent (s) First Alliance Securities, Inc., William Lincoln and Dawn Dailey misrepresented material facts, breached the

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lawrence E. Jamieson Claimant(s) vs. 89-03292 Judith Petrovich and First Philadelphia Investment Group Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Lawrence E. Jamieson alleged that Respondents) Judith Petrovich and First Philadelphia Investment Group mismanaged' Claimants account by gross negligence, made unauthorized tr

NATIONAL ASSOCIATION OP SECRITIBS DEALERS, INC. Tzvi Ben-Aretz AWARD Claimant Vs. Shearson Lehman Hutton Inc. & Victor Linnel Respondents 189-03291 CASE SUMMARY Claimant, Tzvi Ben-Aretz alleged that Respondents, Shearson Lehman Hutton, Inc. and Victor Linnel exercised control over his account, engaged in unauthorized and improper trading, made unsuitable investments, churned his account, breached their fiduciary duties in their m

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Pamela B. Marian Claimant(s) vs. Smith Barney, Harris Upham & Co., Inc., and Gary D. Smith Respondent(s) NOTICE OP ARBITRATION AWARD 89-03285 CASE SUMMARY Claimant(s) Pamela B. Marian alleged that Respondent(s) Smith Barney, Harris Upham & Co., Inc., and Gary D. Smith failed to execute trades. Respondent(s) maintain that Claimant had control

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAIZRS In the Matter of the Arbitration Between David M. Albert 89-03273 Xcel Securities, Inc. and Karen Hall In a claim filed with the NASD en or about November 21, 1989, David M.Albert ("Claimant") alleged that X-Cel Securities, Inc. ("X-Cel") and Karen Hall ("Hall") (collectively as "Respondents") abandoned his account. Claimant specifically alleged that the abandonment caused him to panic an

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. * In the Matter of the Arbitration Between * Christine A. Skrha * Claimant * CASE #89-03272 * AWARD vs. * Norton Morgenthal ik- Respondent + CASE SUMMARY Claimant Christine A. Skrha alleged that Respondent Norton Morgenthal misrepresented to her that he would waive all commissions or monies that he would be entitled to receive from the Claimant's purchase of various Investm

N.A.S.D. AWARD MOTIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Mapte of Claimant. (s\ Elizabeth J. Kizer 89-03270 Resonden Newhard Cook & Co., inc. Jerome Stein Westport Financial Group, Inc. In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about November 21, 1989, Claimant Elizabeth J. Kizer ("Kizer") alleged that Respondents Jerons S. Stein ("Stein"), Newhard,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betareen Name of John & Bonnie Hall 89-03269 Dean Witter Reynolds, Inc. Rodney C. Gott In a statement of claim filed with the NASD on or about November 21, 1989, Claimants John E. and Bonnie J. Hall ("the Halls") alleged that they were unsophisticated investors who had little experience or knowledge regarding the risks inherent in investing in securiti

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerald C, Heyes Claimant vs. Russo Securities, Inc. Dillon Securities, Inc. Respondents AWARD #89-03266 Case Summary Claimant alleged that Respondents failed to exercise due diligence in selling and trading shares of Healthcare Credit Corporation stock when no such corporation existed. Respondent Oil Ion Securities, Inc. maintained that they did n

Stipulated A\vard NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: GEORGE B. SCHOENROCK, n, individually (as beneficiary and Successor Co-Truslee of the Mary V. Schoenrock Living Trust Agreement Dated November 7, 1994) And as Next Friend and Natural Guardian of BERNARD ANTHONY SCHOENROCK (beneficiary of the Mary V. Schoenrock Living Trust Agreement Dated November 7, 1994), Claimant v. Salomon Smith Barney, Inc., Murray Levine, Mitchel