NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward and Gretchen Yeh Claimant(s) vs. 89-02193 F.D. Roberts Securities, Inc. Elliott Bell and Robert Masula Respendent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Edward and Gretchen Yeh alleged that Respondent(s) F.D. Roberts Securities, Inc., Elliott Bell and Robert Masula failed to execute trade orders, made unauthorized trade

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Kevin M. McDonagh ) ) Claimant(s) ) ) and ) CASE NO. 89-02185 ) Allied Capital Group ) Pamela Rybacki ) ) Respondent(s) ) ) CASE SUMMARY In a claim filed with the NASD on or about August 3, 1989, Claimant Kevin M. McDonagh ("Claimant") alleged that Respondents Allied Capital Group, Inc. and Pamela Rybacki withheld proceeds of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard B. Durrett Clairaant(s) vs. 89-02180 Shearson Lehman Brothers Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Richard B. Durrett alleged that Respondent(s) Shearson Lehman Brothers mismanaged Claimant's account causing Claimant to feel compelled to sell out all positions in all accounts with Respondent. Respondent(s)

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Roy A. and Consuelo H. Huffman Claimant(s) vs. Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-02177 CASE SUMMARY Claimant (s) Roy A. and Consuelo M. Huffman alleged that Respondents} Blinder, Robinson & Co., Inc. committed unauthorized trading in Claimants' account held with Respondent. Respondent denies

NATIONAL ASSOCIATION QF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Marina Engel Case #89-02168 Claimant AWARD vs. Prudential-Bache Securities, Inc. Alan Sobelman Respondents CASE SUMMARY Claimant Marina Engel alleged that Respondent Alan Sobelman willfully and intentionally recommended to the Claimant and persuaded her to invest ..in unsuitable Limited Partnerships and Public Tax Shelters. Claimant contended

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between J.C. araofora & GJ. et al. 89-02165 Name of R^tEKjiyjqn 1 - ( g ) Ival Goldstein HKMfKHKOTWTT OF PARTIES Claimants were represented by James T. Rltt, Esq., Assistant Counsel for J.C. Bradford, Nashville, Tennessee. Respondent was represented by Marvin Barke, Esq. of Berke, Berke & Berke, Chattanooga, Tennessee. In a claim fi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, I?iC. In ttis Matter of the Arbitration Between/Among Helen uray Wilson Claimant VS. Legg Mason Wood Walker, Inc. Respondent Case 189-02158 Award CASE SUMMARY Claimant, Helen Gray Wilson, alleged that Respondent, Legg Mason Hood Walker, Inc. failed to properly register Claimant's 988 shares of R.J. Reynolds Nabisco, Inc. so that when the "buy out" of R.J.R. Nabisco came about Claimant neith

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert Hooker, (Claimant) vs. Southwest Securities, Inc., SWS Financial Services, and Richard T. Kiesler (Respondents). Case Number: Hearing Site: 99-02750 Houston, Texas REPRESENTATION OF PARTIES Claimant, Robert Hooker hereinafter referred to as "Claimant" was represented by Robert E. Lapin, Esq., Carrigan Lapin & Landa LLP, Houston, Texas. Respondents, Southwest Sec

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph Barberio Claimant vs. AWARD #89-02157 Peter Gattini Respondent Case Summary Claimant Joseph Barberio alleged that Respondent Peter Gattini executed unauthorized transactions of common stock in his account and failed to deliver proceeds from stock that was sold in his account. Respondent Peter Gattini did not file a Statement of Answer to the St

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) RAYMOND S. MARINE, ) Claimant, )Case No 89-2154 ) vs. ) Notice of ) Arbitration YANIS I. VALENS and ) Award BLINDER ROBINSON & CO.. INC., ) Respondents . ) CASE SUMMARY Claimant, Raymond Marine ('Marine"), alleged that Respondents, Blinder Robinson and Co., Inc. ("Blinder"), and Yanis Valens ("Valens"), were liable for fraud, misrepresen