NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Daniel S. Whiteman, Jr. vs. The Vanguard Group, Inc. Claimant AWARD Respondent CASE I 89-00179 CASE SUMMARY Claimant asserts Respondent failed to place certain option transactions as instruction. Respondent contends as a discount broker it maintained tapes of orders and that for the original complaint of date no tape recordings of orders by

N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02555 Everen Securities Inc. n/k/a First Union Securities, claimant vs. Robert R. Harrison, respondent. ATTORNEYS: For Claimant Everen Securities Inc., ("Claimant"), Nichele A. Moore, Esq. for Everen Securities Inc., Chicago IL. For Respondent Robert R. Harrison, ("Respondent"), Robert R. Harrison did respond to Claimant's Statement of Claim. DATE FILED: J

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Darrell W. Stubbs Claimant(s) vs. 89-00176 Gary L. Leavitt and G.L. Leavitt Financial Group Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Oarrell W. Stubbs alleged that Respondent(s) Gary L. Leavitt and G.L. Leavitt Financial Group negligently mishandled Claimant's account which resulted in dereliction of a stock broker's

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Greg G. Jenkins Claimant(s) vs. 89-00175 PaineWebber, Inc. Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Greg G. Jenkins alleged that Respondent(a) PaineWebber, Inc. made an unauthorized sale of stock. Respondents) maintain that Claimant was made aware of Respondent's intention to sell the stock. RELIEF REQUESTED Claim

RATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Charles Schwab & Co. t Inc. Claimant vs. Case #89-00171 AWARD Kate L. Bernstein Respondent CASE SUMURY This proceeding was commenced initially on January 17, 1989 by Claimant Charles Schwab & Co., Inc. ("Charles Schwab") against Respondent Kate L. Bernstein ("Bernstein") and arises out of a certain account maintained by Claimant at its b

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between JOHN P. LOUDIS, vs. THE ROBINSON-HUMPHREY t CO., INC. and CHARLES KEYSER. Claimant, Respondents. Case #89-00174 Award Heard before the members of the Arbitration Panel: Craig Edward Stein, Esq. Robert Herschmann, Esq. Mr. Thomas J. Boyle CASE SUMMARY This claim was filed with the NASD, Inc. on January 17, 1989. The hearing was conduc

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Elaine K. Thomas/ ) Anthony William Siadak/ ) Milton R. Tam ) Claimant ) ) AWARD vs. ) CONSOLIDATED ) CASES Shearson Lehman Hutton, Inc. ) NASD #89-00169 " Daniel Halligan ) 89-01.171 Bruce Kramer ) 89-01177 ) SUMMARY OF ISSUES Claimants each alleged that Respondents made fraudulent misrepresentations to them, breached their fidu

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hope Hassouni and Harum Hassouni c/f Daniel S. Hassouni Claimant(s) vs 89-00166 Greentree Securities Corp. and Charles Varrazano Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claitnant(s) Hope Hassouni and Harum Hassouni c/f Daniel S. Hassouni alleged that Respondent(s) Greentree Securities Corp. and Charles Varrazano made unauthorize

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ronald G. Sheppard 89-00163 A.G. Edwards & Sons, Inc. and Timothy L. Colen CAS aataas In a claim filed with the NASD on or about January 17, 1989 Ronald G. Sheppard ("Claimant") alleged that A.G. Edwards and Sons, Inc. and Timothy L. Colen (collectively "Respondents") misrepresented the status of an account held by Claimant with the Respondents

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John O'Malley Joetta O'Malley Claimants vs. Smith Barney Harris Upham & Co., Inc. Erwin (Skip) Moosher William Olson Respondents - CASE #89-00161 AWARD CASE SUMMARY Claimants John and Joetta O'Malley alleged Respondents recklessly rendered investment advice and failed to follow the Claimants' investment objectives and recommended and exe