NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In tne Matter of the Arbitration Betweer ; ) THOMAS VERT IN ) ) Claimant - ) and ) ) CASE NO. 89-01105 DREXEL BURNHAM LAMBERT, INC. AND ) SHEILA MAUN SCHARENBORICH ) ) Respondents ) CASE SUMMARY Thomas Vertin ("Claimant") alleged that Drexel Burnham Lambert, Inc. and Sheila Maun Scharenbroich ("Respondent") liquidated his account contrary to his instructions, failed to prov

NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Fariborz and Joyce Yadegar Claimant(s) vs. 89-01103 Power Securities Corporation, Richard Marchese and Jim Sir.ger Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Fariborz and Joyce Yadegar alleged that Respondent(s) Power Securities Corporation, Richard Marchese and Jim Singer made unauthorized trades in Claimants' account.

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Albert Sfeir Case 189-01102 Claimant AWARD vs. Dave Augustine Respondent CASE SUMMARY Claimant Albert Sfeir alleged that Respondent Dave Augustine made false representations concerning certain stocks, and that the Claimant relied on these representations to his detriment. Claimant also alleged that the Respondent failed to sell the Claimant's st

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Debra L. Davis and L.F. Davis Claimant(s) vs. Graystone Nash, Inc., R.B. Marich, Inc. and Peter Blanding vs. Robert Gadpaille Respondent(s) NOTICE OF ARBITRATION AWARD 89-01100 CASE SUMMARY Claimant(s) Debra L. Davis and L.F. Davis alleged that Respondent(s) Graystone Nash, Inc., R.B. Marich, Inc. and Peter Blanding provided Claimants

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph and Mary Rubino Claimant(s) vs. Power Securities Corp. and Bernard R. Schmitt Respondent(s) NOTICE OP ARBITRATION AWARD 89-01098 CASE SUMMARY Claimant (s) Joseph and Mary Rubino alleged that Respondent (s) Power Securities Corp. and Bernard R. Schmitt would not execute sell orders. Respondent Schmitt denies all allegations. Respondent P

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Tammy S. Blakey Claimant(s) vs. 89-01097 Freeman Welwood & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Tammy S. Blakey alleged that Respondent(s) Freeman Welwood & Co. misrepresented facts. Respondent(s) denies all allegations. RELIEF REQUESTED Claimant(s) Tammy S. Blakey requested damages of Four Thousand Eight

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Doris Fienga Claimant ) vs. . ) Quintus A. Guthrie Respondent AWARD CASE NO. 89-01095 *s of the Arbitration Panel Charles 0. ..u.. • • SUMMARY OF ISSUES »»n.h the National Association of Securities Dealers, Inc. ("NASD") on April 11, 1989. Claimant alleged Respondent recommended and invested her funds in unsuitable common stocks. Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marvin P. & Florence L. Anderson, William H. & Maridean F, Bennett, Vi L. Budden, Joyce K. Cowin, Thomas H. & Joy E. Kellough, Otto A. & Sylvia A. Ross and William C. & Vickie 5. Tewalt vs. E. F. Mutton & Co., Inc., Shearson Lehman Mutton, Inc., Stig Oftedal and Pamela Oftedal ) Claimants ) ) ) Respondents ) ) ) AWARD

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louis A. Bransford Mary K. Bransford VS. Nicholas Zahareas Claimants AWARD Respondent CASE #89-01091 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 10, 1989 Claimants Louis A. and Mary K. Bransford alleged that Respondent Nicholas Zahareas, while a registered representative, engaged in unauthoriz

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Harry L. and Dorothy M, Keener Mary P. Matousek Charles and Jacqueline Schauert Helen Shepp Anna Kappra William Turpak Hazel Willis Case No. 99-02641 Names of Respondents Van Roberson Lewis, III Jay H. Drivas Michael F. Mann Hal Marlow Sunpoint Securities, Inc. Third-Party Respondent William M. Perry REPRESENTATION OF P