NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas and Carol Miller Claimant(s) vs. 89-01365 The Stuart-James Co. and Jann Sand-Lin Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Thomas and Carol Miller alleged that Respondent(s) The Stuart-James Co. and Jann Sand-Lin misrepresented material facts with respect to Claimants' investment with Respondents. Respondent(s)

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between| William D. Mallinger Claimant(s) vs, 89-01363 Sprung and Wise Securities, Inc. and Scott Warbuton Respondent(s) NOTICE OF ARBITRATION AWARD .1 CASE SUMMARY Claimant(s) William D. Mallinger alleged that Respondent(s) Sprung and Wise Securities, Inc. and Scott Warbuton made misrepresentations and manipulated stock prices. Respondent(s) main

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Martha Szerlip Claimant vs. Shearson Lehman Mutton, Inc. Peter M. Gibson Respondents CASE #89-01358 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 8, 1989, Claimant Martha Szerlip alleged that Respondent Peter Gibson intentionally entered the Claimant into an excessive number of trades for th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Gerene P. Lombardini Claimant ) vs. ) AWARD Ravindra 0. Phadnis Respondent ) CASE NO. 89-01357 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 9, 1989. Claimant alleged that Respondent recommended investments that were unsuitable to Claimant's stated investment goals and objectives, including opt

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc Claimant(s) vs. 89-01354 Steven Morse lang Respondent{s) NOTICE OF ARBITRATION { AWARD CASE SUMMARY Claimant Charles Schwab & Co., Inc alleged that Respondent Steven Morse lang failed to make good delivery of the total number of shares sold for his account or to return the funds paid out to him. Respondent failed to defen

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Steven, Lisa and Floyd-Wolff, JT WROS vs. Case No. 99-02674 ~ Name of Respondent Fidelity Investments Institutional Services REPRESENTATION OF PARTIES Claimants, Steven, Lisa and Floyd Wolff, hereinafter collectively referred to as "Claimants' Floyd Wolff, Quincy, Massachusetts Respondent, Fidelity Investments Institutional Services, hereinafter re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Use E. Stahl Thomas Werner Ueberall VS. Claimants Robert Ryan Skoff Sherwood Capital, Inc. First Jersey Securities, Inc. Respondents CASE *89-01348 AWARD CASE SWfMRY Claimants, Use E. Stahl and Thomas Werner Ueberall, allege that Robert Ryan Skoff, while in the employ of First Jersey Securities, Inc. and Sherwood Capital, Inc., charged excessive

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Joseph Woody Case No. 89-01344 Claimant AWARD vs. Michael Leeds Greentree Securities, Inc. Richard Greenstein Thomas Francis Respondents CASE SUMMARY In a claim filed with the National Association of Securitiss Dealers, Inc. on May 8. 1989. Claimant Joseph Woody alleged the Respondents misrepresented to him the initial value of his inves

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donald G. Phillips Claimant(s) vs. 89-01340 Southmark Financial Services, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Donald G. Phillips alleged that Respondent(a) Southmark Financial Services, Inc. committed fraud and made misrepresentations. Respondent(s) maintain that the Claimant has failed to state facts to sup

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Curtis and Shirley Bowland Claimant(s) vs. 89-01339 Power Securities Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Curtis and Shirley Bowland alleged that Respondent Power Securities made misrepresentations with respect to the purchases of securities. Respondents did not respond. RELIEF REQUESTED Claimant Curtis and Shirley B