NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Robert J. Smyth Claimant vs. Sherwood Capital, Inc., J.T. Moran & Co., Inc. and Scott Toohey Respondents Case #89-01110 AWARD CASE SWfMRY Claimant Robert J. Smyth ("Smyth") alleged that the Respondent Scott Toohey ("Toohey"), a former employee of Respondent Sherwood Capital, Inc. ("Sherwood") and Respondent J.T. Moran & Co., Inc. ("J.T. Moran"),

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert M. Cooper Claimant(s) vs. 89-01109 Fidelity Investments Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert M. Cooper alleged that Respondent(s) Fidelity Investments failed to execute trade orders on a timely basis. Respondent(s) denies Claimant's allegations. RELIEF REQUESTED Claimant(s) Robert M. Cooper requested

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Esther S. Hirshberg Claimant vs. Case *89-01108 AWARD Legg Mason Wood Walker, Inc. Respondent CASE SUMMARY Claimant Esther Hirshberg alleged that the Respondent Legg Mason Wood Walker, Inc. ("Legg Mason"), through its former employee, Michael B. Chamberlain, breached its fiduciary obligation and was negligent in advising the Claimant to purchase

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant George S. Newman, fbo Bloomin Newman's and Nathan Newman, minor child vs. Case No. 99-02642 Name of Respondents The First American Investment Banking Co. Earl Edward Van Landingham REPRESENTATION OF PARTIES Claimant, George S. Newman, on behalf Bloomin Newman's and Nathan Newman, a minor, hereinafter referred to as "Claimant" appeared pro se.

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Name of Claimant: Ruth S. Chenoweth, Individually and as Trustee of the Ruth S. Chenoweth Trust U/A dtd 10/21/94 Case No: 00-01030 Names of Respondents: S.G. Cowen Securities Corporation and Edward Ian Herbst Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Ruth S. Chenoweth, Individually and as Trustee of the Ruth S. Chenoweth Tru

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant./a| Edward A. Weiler 89-01107 The Robinson-Hunphrey Company Lawrence L. Orr, III William Effinger Heard before: Name Public/Industry Christopher J. tferan, Jr., Esq. Public Arbitrator Claimant Edward A. Weiler appeared pro se. Respondents The Robinson Humphrey Company, Lawrence L. Orr, III, and William Ef finger were re

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In tne Matter of the Arbitration Betweer ; ) THOMAS VERT IN ) ) Claimant - ) and ) ) CASE NO. 89-01105 DREXEL BURNHAM LAMBERT, INC. AND ) SHEILA MAUN SCHARENBORICH ) ) Respondents ) CASE SUMMARY Thomas Vertin ("Claimant") alleged that Drexel Burnham Lambert, Inc. and Sheila Maun Scharenbroich ("Respondent") liquidated his account contrary to his instructions, failed to prov

NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Fariborz and Joyce Yadegar Claimant(s) vs. 89-01103 Power Securities Corporation, Richard Marchese and Jim Sir.ger Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Fariborz and Joyce Yadegar alleged that Respondent(s) Power Securities Corporation, Richard Marchese and Jim Singer made unauthorized trades in Claimants' account.

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Albert Sfeir Case 189-01102 Claimant AWARD vs. Dave Augustine Respondent CASE SUMMARY Claimant Albert Sfeir alleged that Respondent Dave Augustine made false representations concerning certain stocks, and that the Claimant relied on these representations to his detriment. Claimant also alleged that the Respondent failed to sell the Claimant's st

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Debra L. Davis and L.F. Davis Claimant(s) vs. Graystone Nash, Inc., R.B. Marich, Inc. and Peter Blanding vs. Robert Gadpaille Respondent(s) NOTICE OF ARBITRATION AWARD 89-01100 CASE SUMMARY Claimant(s) Debra L. Davis and L.F. Davis alleged that Respondent(s) Graystone Nash, Inc., R.B. Marich, Inc. and Peter Blanding provided Claimants