Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Nihad Owaid as custodian for Amanda Owaid and Oliver Owaid, (Claimants) vs. Merrill Lynch, Pierce, Fermer & Smith, Inc. and Sammy M. Barsa, (Respondents) Case Number: 99-02564 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Nihad Owaid as custodian for Amanda Owaid and Oliver Owaid, hereinafter referred to as "Claimant": Richard C. Hochman, Esq., a sole pr

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John B. Herrick Claimant(s) vs. Integrated Resources Equity Corp. and Len Clark Respondent(s) NOTICE OF ARBITRATION AWARD 89-00282 CASE SUMMARY Claimant(s) John B. Herrick alleged that Respondent(s) Integrated Resources Equity Corp. and Len Clark failed to adequately disclose the fees associated with a recommended market timing service. Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jeffrey and Kathy Dobson Claimant(s) vs. 89-00281 Amerimutual Corp./ Rosemary Grady, Peter Valdez, Robert Oiodato and Guiness Capital Funding Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Jeffrey and Kathy Dobson alleged that Respondent(s) Amerimutual Corp., Rosemary Grady, Peter Valdez, Robert Diodato and Guineas capi

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stephen 0. and Margie K. Thomas Claimant(s) vs. 89-00279 Dean Witter Reynolds, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Stephen O. and Margie K. Thomas alleged that Respondent Dean Witter Reynolds, Inc. failed to timely execute an order to sell which resulted in Claimants' monetary loss. Respondent denies all allega

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Georoene Troffer Claimant ) ) vs. ) AWARD ) Richard Landreau, Vincent Saar Respondents ) CASE NO. 89-00274 and Anchor National Financial ) Services, Inc. ) SUWARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on February 1, 1989. Claimant Georgene Troffer alleged that Respondents Richard Lan

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co,, Inc. Claimant(s) vs 89-00268 Dana M. Hogan and Robyn M. Hogan Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) Oana M. Hogan and Robyn M. Hogan have not paid Claimant for money owed on a trade executed by Claimant upon a trade ordered by Respondent. R

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(s) vs. 89-00267 Jeffrey A. Hines Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) Jeffrey A. Hines has not covered his margin call from October of 1987. Respondent(s) maintain that the Claimant acted without instructions in the handling of R

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Kirk A. Knapp and Bonnie J. Knapp ) Claimant(s) ) and ) AWARD ) Case No. 89-00266 Tri-Bradley Investments, Inc.; ) John Bradley and Paul A. Hurtado ) Respondent(s) ) ) CASE SUMMARY In a claim filed with the NASD on January 30, 1989, Claimants Kirk A. Knapp and Bonnie J. Knapp ("Claimants") alleged that Respondents Tri- Bradley Investments

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Harry Bienenfeld Claimant(s) vs. AWARD 89-00263 Fitzgerald, Talman, Inc. and Jerry Fitzgerald Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) Harry Bienenfeld alleged that Respondent(s) Fitzgerald, Talman, Inc.and Jerry Fitzgerald failed to execute a securities transaction as requested in Claimant's account held with Respondent. R

Final Order NASD Dispute Resolution In the Matter of the Arbitration Between: The J.B. Sutton Group, LLC, (Claimant) vs. James Scott, (Respondent) Case Number: 99-02562 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, The J.B. Sutton Group, LLC, hereinafter referred to as "Claimant": Michael S. Finkelstein, Esq., a sole practitioner, Garden City, NY. Previously represented by: Gregg R. Evangelist, Esq., Counsel, The J.B. Sutton Group