NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bo Yadegar and Joyce Yadegar Claimant(s) vs. 89-00190 Tri Bradley Investments Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Bo Yadegar and Joyce Yadegar alleged that Respondent Tri Bradley Investments sold Claimant warrants when he had agreed only to purchase common stock. Respondents did not defend. RELIEF REQUESTED Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab 6 Co., Inc. Claimant(s) vs. Christopher Judson a/k/a Christopher LeMoine and Catherine Juason Respondent(s) NOTICE OP ARBITRATION AWARD 89-00189 CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) Christopher Judson a/k/a Christopher LeMoine and Catherine Judson have not paid Claimant for debit balance

NATIORAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Dorothy Lodge Claimant vs. Oppenheimer & Co. Daniel Dolcini Inc. and Respondents Case "89-00184 AWARD CASE SUMMARY Claimant Dorothy Lodge alleged that Respondents Oppenheimer & Co., Inc. 'and Daniel Dolcini purchased *nd sold securities for the Claimants account that were not suitable for her, engaged in excessive trading, and otherwise

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Victoria Knight Claimant(s) vs. 89-00181 Capital First Securities Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Victoria Knight alleged that Respondent(s) Capital First Securities sold securities that was not registered in Claimant's state. Respondent(s) denies all allegations. RELIEF REQUESTED Claimant (s) Victoria Knight

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Daniel S. Whiteman, Jr. vs. The Vanguard Group, Inc. Claimant AWARD Respondent CASE I 89-00179 CASE SUMMARY Claimant asserts Respondent failed to place certain option transactions as instruction. Respondent contends as a discount broker it maintained tapes of orders and that for the original complaint of date no tape recordings of orders by

N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02555 Everen Securities Inc. n/k/a First Union Securities, claimant vs. Robert R. Harrison, respondent. ATTORNEYS: For Claimant Everen Securities Inc., ("Claimant"), Nichele A. Moore, Esq. for Everen Securities Inc., Chicago IL. For Respondent Robert R. Harrison, ("Respondent"), Robert R. Harrison did respond to Claimant's Statement of Claim. DATE FILED: J

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Darrell W. Stubbs Claimant(s) vs. 89-00176 Gary L. Leavitt and G.L. Leavitt Financial Group Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Oarrell W. Stubbs alleged that Respondent(s) Gary L. Leavitt and G.L. Leavitt Financial Group negligently mishandled Claimant's account which resulted in dereliction of a stock broker's

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Greg G. Jenkins Claimant(s) vs. 89-00175 PaineWebber, Inc. Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Greg G. Jenkins alleged that Respondent(a) PaineWebber, Inc. made an unauthorized sale of stock. Respondents) maintain that Claimant was made aware of Respondent's intention to sell the stock. RELIEF REQUESTED Claim

RATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Charles Schwab & Co. t Inc. Claimant vs. Case #89-00171 AWARD Kate L. Bernstein Respondent CASE SUMURY This proceeding was commenced initially on January 17, 1989 by Claimant Charles Schwab & Co., Inc. ("Charles Schwab") against Respondent Kate L. Bernstein ("Bernstein") and arises out of a certain account maintained by Claimant at its b

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between JOHN P. LOUDIS, vs. THE ROBINSON-HUMPHREY t CO., INC. and CHARLES KEYSER. Claimant, Respondents. Case #89-00174 Award Heard before the members of the Arbitration Panel: Craig Edward Stein, Esq. Robert Herschmann, Esq. Mr. Thomas J. Boyle CASE SUMMARY This claim was filed with the NASD, Inc. on January 17, 1989. The hearing was conduc