NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(s) vs. 89-00267 Jeffrey A. Hines Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) Jeffrey A. Hines has not covered his margin call from October of 1987. Respondent(s) maintain that the Claimant acted without instructions in the handling of R

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Kirk A. Knapp and Bonnie J. Knapp ) Claimant(s) ) and ) AWARD ) Case No. 89-00266 Tri-Bradley Investments, Inc.; ) John Bradley and Paul A. Hurtado ) Respondent(s) ) ) CASE SUMMARY In a claim filed with the NASD on January 30, 1989, Claimants Kirk A. Knapp and Bonnie J. Knapp ("Claimants") alleged that Respondents Tri- Bradley Investments

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Harry Bienenfeld Claimant(s) vs. AWARD 89-00263 Fitzgerald, Talman, Inc. and Jerry Fitzgerald Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) Harry Bienenfeld alleged that Respondent(s) Fitzgerald, Talman, Inc.and Jerry Fitzgerald failed to execute a securities transaction as requested in Claimant's account held with Respondent. R

Final Order NASD Dispute Resolution In the Matter of the Arbitration Between: The J.B. Sutton Group, LLC, (Claimant) vs. James Scott, (Respondent) Case Number: 99-02562 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, The J.B. Sutton Group, LLC, hereinafter referred to as "Claimant": Michael S. Finkelstein, Esq., a sole practitioner, Garden City, NY. Previously represented by: Gregg R. Evangelist, Esq., Counsel, The J.B. Sutton Group

OKAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between r. Rowe Price Investment Services, Inc. Claimant(s) vs. AWARD 89-00261 •feston Lincoln Watkins and lebeckah Gillins Watkins Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Ilaimanr(s) T. Rowe Price Investment Services, Inc. alleged that tespondent (s) Weston Lincoln Watkins and Rebeckah Gillins Watkins jwe Claimant the balance due on a "sweep acc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John David Berryman, M.D. Donna Lorraine Edgins Claimants vs. Kidder Peabody & Co., Inc. Harry Lyle Respondents CASE #89-00260 AHARD Case Summary Claimants allege Respondent failed to sell "Interleuken" stock at a given price of $9.00 while their broker, Respondent Harry Lyle, was on vacation. Respondents contend that the parties had only ag

NATIONAL ASSOCIATION OF SECURITIES DEALERS NOTICE OF ARBITRATION AWARD 89-00259 the Matter of the Arbitration Between Ruth and Meyer Steinberg Claimant(s) vs. Blinder, Robinson & Co., Inc.. Respondent(s) CASE SUMMARY Claimant(s) Ruth and Meyer Steinberg alleged that Respondent(s} Blinder, Robinson & Co., Inc. misrepresented the value of a security on the date it was purchased by Claimant. Respondent(s} point-flin that the securit

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of ".he Arbitration Between Blaise, Maggie and Karen Ann DiMartino Claimant(s) vs. 89-00255 Shearson Lehman Button, Inc., and Timothy M. Poplin Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimants Blaise, Maggie and Karen Ann DiMartino alleged that Respondents Shearson Lehman Mutton, Inc., and Timothy M. Poplin negligently mishandled Claimants account held w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Marion & Cynthia White Claimants ) vs. ) Bateman Eichler, Hill Richards, Inc. and Jack Block i Respondents ) AWARD CASE NO. 89-00254 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 23, 1989. Claimants Marion and Cynthia White allege that Respondent Jack Block, while employ

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Acquisition Management, Inc. Raymond C. Oosky, Clara R. Dosky, Lois E. Dosky, Steven L. Dosky and Douglas A. Dosky Claimants vs. Allied Capital Group, Inc. Respondent vs. Thomas N. Taylor Third Party Respondent AWARD #89-00252 Case Summary The Claimants, Acquisition Management, Inc., Raymond C. Dosky, Clara R. Dosky, Lois E. Dosky,