NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Eugene Aaron Mindy Dawn Aaron vs. Doft & Co. f Inc. Avrom I. Doft Alan Doft Claimants Respondents CASE* 89-00550 AWARD CASE SUMMARY Claimants allege that Respondents in breach of their fiduciary duty to them managed their account in a negligent fashion. They allege that Respondents over concentrated positions and did not trad

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in'tha Matter of the Arbitration Between Name of Claimant William Lartz 89-00537 Mark Williamson In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about February 17, 1989 and in the Amended Statement of Claim which was filed with the NASD on or about February 1, 1991 William Lartz ("Claimant") alleged that Mark Williamson engaged in churning of his

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between JEFFREY WOLFSON, vs. Claimant, ) Case 189-00549 DOMINICK & DOMINICK, INC., vs. MAXWELL WOLFSON, Respondent/Third Party Claimant Third Party Respondent. Award Heard before the members of the Arbitration Panel: Marilyn B. Cane, Esq. Mr. Harry Polansky Mr. Douglas Delanoy, Jr. CASE SUMMARY This claim was filed with the NASD, Inc

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02581 Taylor Stuart Financial, claimant vs. Glen D. Tiller, respondent. ATTORNEYS: For Claimant Taylor Stuart Financial ("Claimant"), Stephanie Rosenblatt, Esq., Singer Frumento, New York, New York. Respondent Glen D. Tiller ("Respondent"), did not respond to the Statement of Claim, DATE FILED: 06/04/1999 CASE SUMMARY: Claimant maintained that on July 16,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jimmy W. & Sue George Claimant(s) vs. Paulson Investment Co., Donald Halverson and R.A. Schiller Respondent(s) NOTICE OP ARBITRATION AWARD 89-00535 CASE SUMMARY Claimants Jimmy W. George and Sue George alleged that Respondents Paulson Investment Co. , Donald Halverson and R.A. Schiller did not give correct disclosures in connection with select bon

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ed Sobeck Claimant(s) vs. AWARD 89-00507 Graystone Nash, Inc. and Capital Investment Development Corp. Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) Ed Sobeck alleged that Respondent(s) Graystone Nash, Inc. and Capital Investment Development Corp. misinformed Claimant by maintaining that a merger between the Respondents would take

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mary H. Popovich and Valerie Rae Gould, JTWROS vs. Kenneth Workman Claimant(s) Respondent(s) NOTICE OF ARBITRATION AWARD 89-00506 CASE SUMMARY Claimant(s) Mary H. Popovich and Valerie Rae Gould, JTWROS alleged that Respondent(s) Kenneth Workman misrepresented material facts with respect to Claimants' investment with Respondent. Respondent(s) d

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Danny P. Hurles Claimant(s) ARBITRATION vs. AWARD 89-00505 Christopher Preuss, Joseph Canindeo and Thomas Ackerly Respondent(s) NOTICE OF CASE SUMMAR7 Claimant(s) Danny P. Hurles alleged that Respondent(s) Christopher Preuss, Joseph Canindeo and Thomas Ackerly misrepresented the potential investment performance of certain securities purchased

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Rich & Famous, Inc. Claimant vs. CASE* 89-00504 AWARD Wissam Abdelnour Shearson Lehman Mutton, Inc. Ziad Abdelnour Respondents CASE SUMMARY Claimant alleges Respondents churned his account and entered unauthorized transactions. Claimant also alleged the account was over-leveraged and locked adequate margin. Claimant also alleged failure

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Sherwood Capital, Inc. Claimant(s) vs. 89-00484 Fred Eisner Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Sherwood Capital/ Inc. alleged that Respondent(s) Fred Eisner received an overpayment on commissions. Respondent(8) did not respond. RKTiTBF REQUESTED Claimant(s) Sherwood Capital, Inc. requested damages of Two Hundre