N.A.S.D. .A.W.ARD NATIONAL .\SSOCUTION OF .SECURITIES DEALERS In the .Maiter of the Arbitration Between Name of Claimant Stephen E. Grain \s. 92-02814 Shearson Lehman Brothers. Inc. Lawrence Cohen Steven J. Rosandich CASE SL-MMARY In a ciaim filed with the Nationai Association of Securities Dealers. Inc. on August 21. 1992. Claimant Stephen E. Grain, who appeared Pro Se, alleged that on February 10. 1992 he expressed concern about the pote

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maner of the Arbitration Between Name of Claimant Donaid R. "Watson 92-03158 Name of Respondents JPatocI re. •r' CASE St In a claim filed with the National Association of Securities Dealers, Inc. on September 18, 1992, Donald R. Watson, who appealed Pro Se, alleged tbat Respondents David A. Noyes & Cc^pany and Patrick Butler failed to monitor his investment in Standard Oil an

NATIONAL .ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Setween SCOTT BROWN Claimant vs. OPPENHEIMER & CO. TOM LEAHY Case #88-00629 Award Respondents On April 10, 1989. the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant, Scott Brown on February 19, 1988 and by Respondents, Oppenheimer & Co. and Tom Leahy on May 20, 1988. Tha arbi

May 24, 1989 Sandra A. Twigg Senior Analyst National Association of Securities Dealers, Inc. 1735 K Street, N.W. Washington, D.C. 20006 Re: NASD Arbitration 88-03418 Rose Jacobson and Hilda Zaida vs. William Wohlers and Blinder Robinson & Co. liO i (g if fi ^ 1 rn NAT ^OM CORPORATF flKAmi^r, s Dear Ms. Twigg: My decision in the above-referenced case follows: Claimant (Jacobson) wanted to receive approximately $.045/share fo

May 11, 1989 Sandra A. Twigg, Senior Analyst National Association of Securities Dealers, Inc. 1735 K Street, N.W. Washington, D.C. 20006 MAY i 6 1969 CORPORATE FINANCING Re: NASD Arbitratlon^88-03186 J Wedbuah Securities, Inc. vs. Jonathan J. Graham & Sun Nam Florin Dear Ms. Twigg: My decision in the above-referenced case follows: Respondent Jonathan J. Graham shall pay the sum of $1,488.00 to Claimant for the $1,545,74 check debit less cr

May 19. 1989 1^ ib89 Sandra A. Twigg Senior Analyst National Association of Securities Dealers, Inc. 1735 K Street, N.W. Washington, D.C. 20006 . -~ " Re: NASD Arbitration 88-03105 Stephen J. Kolodzej vs. Blinder, Robinson & Co., Inc. and Jeffrey Vade Kaplan Dear Ms. Twigg: My decision in the above-referenced matter follows: (1) I have reviewed the proofs of the parties, including their additional correspondence. (2) Blinder, Robinson'

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Cathy Herndon 97-05102 Name of Respondent L.T. Lawrence & Co., Inc. REPRESENTATION For Claimant: Thomas L. Krebs, Esq. of the law firm of Ritchie & Rediker, L.L.C., Birmingham, Alabama. Respondent did not appear. CASE INFORMATION Statement of Claim filed: October 23, 1997. Amended Statement of Claim filed: August 11, 1998. Claimant's Submiss

EiniH E.V.:'£'•'. HARRIS. UPHAfl " CO., INC. ) Claimant ) V. ) CASE i;0. 83-02033 Respondent ) CASE SU.vWRY Smith Barney, Harris, Upham & Co., Inc. ("Claimant") alleged that Charles L. Baumert ("Respondent") owed the Claimant certain sums pursuant to a promissory note that the Respondent executed in favor of the claimant. Respondent admitted that he owed the debt to the Claimant, but stated in his answer that he did not have the ability to pay the

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lawrence L. Anderson Lezli R. Anderson vs. Claimants Greentree Securities Corp. Monica Chessie James Tindell Thomas Ruddy Respondents AWARD #88-01705 Case Summary Claimants claims against Respondents arise form the offer and sale of several over-the-counter stocks. The Claimants alleged that the Respondents failed to execute a trade order as wel

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Beverly J. McConnell Claimant(s) vs . Shearson Lehman Brothers and Cynthia Lee Kline Respondent(s) AWARD 88-01727 The undersigned being the Arbitrator selected to review and determine a matter in controversy be.tween the above-mentioned Claimant and Respondents, set forth in a subinission to arbitration signed by the Claimant on May 12.,.. ;i9-88".5iand