NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Case 189-00563 AWARD IN THE MATTER OF THE ARBITRATION BETWEEN Carwelo & Patricia Vitello CLAIMANTS vs. First Fidelity Capital Corp. K. Nick Ousevic Michael Coulombre RESPONDENTS CASE SuWARY Claimants Carmelo & Patricia Vitello ("Vitello") alleged they were unsophisticated, inexperiencefr investors, and that the Respondents First Fidelity Capital Corp. ("Firs* Fidelity"), K. Nick Du

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Sandra Barnow, a.k.a. Claimant ) Sandra Kahn ) ) vs. } AWARD ) Oppenheimer & Co., Inc., Respondents ) CASE NO. 89-00562 Bear Stearns & Co., Inc. and ) Stuart Godin ) SUMMARY OF ISSUES Claimant alleged that Respondents breached their fiduciary duty to her, failed to supervise account executive Godin, and defrauded her by placing 75% of he

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Thonas Ned and Barbara Anderson 89-00559 Name of Respondent Brad Doolittle The Colonial Group of Mutual Funds, Inc. Institutional Asset Management CASE SOMURT Thomas Ned and Barbara Anderson ("Claimants") alleged that Institutional Asset Management, Colonial Group of Mutual Funds, and Brad Doolittle (collectively referred to herein as

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between John F. Shanahan Claimant(s) vs. 89-00558 Graystone Nash, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) John F. Shanahan alleged that Respondent (s) Graystone Nash, Inc. made misrepresentations. Respondent (s) maintain that the merger in question did take place and the Respondent, at that time, was not in any financial d

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Eugene Aaron Mindy Dawn Aaron vs. Doft & Co. f Inc. Avrom I. Doft Alan Doft Claimants Respondents CASE* 89-00550 AWARD CASE SUMMARY Claimants allege that Respondents in breach of their fiduciary duty to them managed their account in a negligent fashion. They allege that Respondents over concentrated positions and did not trad

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in'tha Matter of the Arbitration Between Name of Claimant William Lartz 89-00537 Mark Williamson In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about February 17, 1989 and in the Amended Statement of Claim which was filed with the NASD on or about February 1, 1991 William Lartz ("Claimant") alleged that Mark Williamson engaged in churning of his

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between JEFFREY WOLFSON, vs. Claimant, ) Case 189-00549 DOMINICK & DOMINICK, INC., vs. MAXWELL WOLFSON, Respondent/Third Party Claimant Third Party Respondent. Award Heard before the members of the Arbitration Panel: Marilyn B. Cane, Esq. Mr. Harry Polansky Mr. Douglas Delanoy, Jr. CASE SUMMARY This claim was filed with the NASD, Inc

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02581 Taylor Stuart Financial, claimant vs. Glen D. Tiller, respondent. ATTORNEYS: For Claimant Taylor Stuart Financial ("Claimant"), Stephanie Rosenblatt, Esq., Singer Frumento, New York, New York. Respondent Glen D. Tiller ("Respondent"), did not respond to the Statement of Claim, DATE FILED: 06/04/1999 CASE SUMMARY: Claimant maintained that on July 16,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jimmy W. & Sue George Claimant(s) vs. Paulson Investment Co., Donald Halverson and R.A. Schiller Respondent(s) NOTICE OP ARBITRATION AWARD 89-00535 CASE SUMMARY Claimants Jimmy W. George and Sue George alleged that Respondents Paulson Investment Co. , Donald Halverson and R.A. Schiller did not give correct disclosures in connection with select bon

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ed Sobeck Claimant(s) vs. AWARD 89-00507 Graystone Nash, Inc. and Capital Investment Development Corp. Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) Ed Sobeck alleged that Respondent(s) Graystone Nash, Inc. and Capital Investment Development Corp. misinformed Claimant by maintaining that a merger between the Respondents would take