NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Rachel Hertz Claimant vs. Robert Todd Financial Corp. Respondent CASE #89-02878 AWARD CASE SUHWRY Claimant is alleging that stock was purchased for her account at a cost of 510,314.35 without her authority or knowledge. Subsequently Robert Todd sold stock from her account in order to cover the price of the unauthorized purchase even after repeated c

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Felix and Linda Ferrise Claimant(s) vs. Blinder, Robinson & Co., Inc. and Mark Spencer Respondent(a) NOTICE OF ARBITRATION AWARD 89-02877 CASE SUMMARY Claimant(s) Felix and Linda Ferrise alleged that Respondent(s) Blinder, Robinson & Co., Inc. and Mark Spencer misrepresented material facts as to Claimants' investment with Respondent. Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant? s^ Karen Haines Gabiner, Robert & Nancy C. Flaherty, and Flaherty-Haijnes, Inc. Employee Profit Sharing Plan & Trust 89-03128 89-03133 89-03137 Shearson Lehman Button, Inc. and David Asplund In claims filed with the. National Association of Securities Dealers, Inc. ("NASD") on or about November 8, 1989, Karen Haines Ga

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Charles E. Stewart 89-03194 Mflma of R«»KrinTVJpnf r g ^ Shearson Lehman Hutton, Inc. f/k/a Shaarson Lehman Brothers, Inc. H. Jack Hargis In a claim filed with the National Association of • jacOritiea Dealers, Inc. ("NASD") on or about November 14, 1989, Charles E. Stewart ( "Claimant "4 alleged that Shearson Lehman Hutton, Inc. f/k/a Sh

N.A.S.3. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter cf the Aroitraticn Between i.J. & 14iriel Rothwell 89-02132 Namgof Regporeient ( s ^ First Eagle, Inc. First Choice Securities Ccrp. Lisa Guibenkian David Droubay XCEL Securities, Inc. Dale Whitten Jay Fertman Stuart Sharpe ~iaimant E. J. Rothweil appeared in pro se. ' Respondents and Third Party Claimants, lisa Guibenkian ana first Choice Securities

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Daniel B. Dailey and 99-03526 Columbus, Ohio Name of Respondents Maidstone Financial, Inc. Mark Arthur Hanna Paul Metz Ryan C. Rogers Marshall Bernstein Allen E. Litman Brian Douglas Scanlon REPRESENTATION OF PARTIES Daniel B. Dailey ("Claimant") was represented by Earle R. Frost, Jr., Esq., Frost & Danchak, Columbus, Ohio. Maids

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUFJ.TIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Gaylord Palermo 89-02146 Name of Respondent!s} Shearson Lehman Huttcn. ~r~. Brian J. Lukow In a Statf-raent of Claim filed with the NASD on July 31, 1989, Claimant Gaylord Palermo ("Palermo") alleged that Respondents Shearson Lehman Hutton, Inc. ("Shearson") and Briar. J. Lukow ("Lukcv') engaged in excessive trading of

Arbitration N A c n AWARD National Association of N.A.b.D. AWARD Securities Dealers. Inc. Suite 1680 Three First National Plaza NATIONAL ASSOCIATION OF SECURITIES DEALERS Chicago. IL 60602 (312) 899-4440 In the Matter of the Arbitration Between Raymond C. and Laurie Shinonis 89-02141 Name of Respondent ( s ) Allied Capital Group, Inc. and Brian Polan CASE SUWNR? In a Statement of Claim filed with the NASD on or about July 31,

AWARD NASD Regulation, lac. In the Matter of the Arbitration Between Name of Claimant Regions Investment Company, Inc. 98-04071 Names of Respondents Timothy W. Lee Sharon W. Lee For Claimant: Stephen A. Rowe, Esq. of the law firm of Lange, Simpson, Robinson & SomerviUe, L.L.P., Birmingham, Alabama. For Respondents: James P. O'Neal, Esq. of the law firm of Barnett, Banes, O'Neal, Duffee & Garfield, L.L.C., Birmingham, Alabama. CASE IN

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael and Judith Manzo Award No. vs. 94-04390 Name of Respondents Smith Barney Shearson, Inc. Kenneth Zalcman For Claimants, Michael Manzo and Judith Manzo ("Claimants") Harry S. Miller, Esq. from the law firm of Shafner & Gilleran, located in Boston, Massachusetts. For Respondents, Smith Barney Shearson aka Shearson Lehman Brothers, Inc. ("S