NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00840 Julie Shafritz, claimant vs. Fahnestock & Co. Inc., and Lawrence R. Yerkees, respondents. ATTORNEYS: For Claimant, Julie Shafritz, ("Claimant"), appeared Howard Feinmel, Esq. of the Law Firm Hugh Brett Shafritz, P.A., Delray Beach, FL. For Respondents Fahnestock & Co. Inc., and Lawrence R. Yerkees, (collectively "Respondents"), appeared Eric J. Shames, General Counsel, Fahnestock

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Eugene Gros Scientific Information Consultants, Ltd. Claimants vs. Philips Appel and Waiden, Inc. Laidlaw, Adams and Peck, Inc. Andrew Racz Respondents CASE 186-01520 AWARD CASE SUWARY Claimants Eugene Gros and Scientific Information Consultants, Ltd. charged Respondents with fraud, breach of contract and breach of fiduciary duty in allegedl

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George Landow Claimant vs. AWARD #86-01509 Philips Appel & Walden, Inc. Stephen Becker Bert Weichselbaum Respondents Case Summary Claimant alleged that Respondents misrepresented subject matter and timing of purchases and sales in his account and engaged in unauthorized trading. Respondents maintained that all trades in Claimant's account were

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.. In the Matter of the Arbitration Between Alice F. Mathes Claimant vs. Case #86-01496 AWARD Richard Blackman & Co., Inc. Respondent CASE SUMMARY Claimant Alice F. Mathes alleged that Respondent Richard Blackman & Co., Inc. sold stock in her and her husband's joint name without her authorization. Specifically, Claimant alleged that Respondent sold 60 shares of BP1 Resources, LTD. in the

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Craig W. Tompkins, Claimant vs First Jersey bec-irities, Inc. Respondent Case --'86 -01190 Award The undersigned, being the arbitrator selected to review and determine a matter ir. controversy between the above-mentioned Claimant and Respondent, as set for-.li in a submission to arbitration signed by the claimant on Sept- ember /4, 1986 and signed by the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Nancy Plumitallo Claimant vs. Maria Josephine Saul i no Respondent CASE #86-01095 AWARD The undersigned, being the arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent as set forth in a submission to arbitration signed by the Claimant on August 21, 1986 and signed by the Respondent on No

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) PaineWebber, Inc., )- Claimant, ) ) Case #86-01034 vs. ) Award Hardee Land Co., Darroh Bros. Inc., ) H.G., Larry & Jerry Darroh, ) vs. ) William Collard Jr. & Tracy J. Allen, ) Respondents. ) Heard before the members of the Arbitration Panel: George Felos, Esq. Mr. Sam Giunta. Esq. Mr. Fred T. Rodgers Mr. Roger Robeson Mr. Terr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between ) ) H. Thomas Rector, ) ) Claimant ) Case #86-01004 ) vs. ) Award Merrill Lynch, Pierce, Fenner & Smith, Inc., ) and Roger Coe, ) ) Respondents ) CASE SUMMARY Claimant, H. Thomas Rector, alleges that Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. and Roger Coe, failed to properly monitor his option accounts and the check-writin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name qfClaimantfs) Suzanne de Kuyper 86-00985 A.G. Edwards & Sons, Inc. Thomas D. Rogers Heard before: Name Public/Industry William M. Prifti, Esq. Public Arbitrator Sydney Parlow Public Arbitrator Janes Fox Industry Arbitrator This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealer

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between: ROGER MCIVER and MARLA JO MCIVER, Claimants, AWARD NASD CASE NO. 86-00531 v. HARRY HENZEL and ROBERT SCARMAZZO, Respondents, and HARRY HENZEL, Third-party Claimant, v. RICHARD SCHUMAN, Third-party Respondent. On May 9th and 10th, 1989, the undersigned arbitrators hoard the controversy between the parties as set forth in the su