NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) E. R. Wood and Gladys Wood } ) Claimant(s) ) and ) AWARD ) Case No. 89-1802 Prudential Bache Securities, Inc.; ) Richard Ganley and Stephen P. Ziomek ) Respondent(s) ) ) CASE SUMMARY In a claim filed with the NASD on or about June 22, 1989. Claimants E.R. Wood and Gladys Wood ("the Woods") alleged that Respondents Richard Ganley, (•'G

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Catherine Smith NanjB^gf^tegngndfintigl 89-01795 Merrill Lynch, Pierce Fenner & Smith Inc Gene Valentino of Ifrird Party Responden Nick Valentino In a Statement of Claim filed with the NASD on June 23, 1989, Claimant Catherine M. Smith alleged that Respondents Merrill Lynch, Pierce, Fenner & Smith, inc. and Gene Valentino represented a real

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Charles E., Jr. and Bette Ann Auslander JTWROS Claimant(s) vs. Shearson Lehman Button, inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-01798 CASE SUMMARY Claimant(s) Charles E., Jr. and Bette Ann Auslander JTWROS alleged that Respondent(s) Shearson Lehman Button, Inc. made misrepresentations through its agent Ernie Krauss in order to generat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between f Claimants John C. anolen and Mary K. Smolen, JTWROS 89-01792 Name of Respondent ( s ]_ Prudential-Bache Securities Inc. Donald Federman CASE StMffiRY Claimants alleged that Respondents traded securities in the Claimants' account without authorization and placed the Claimants in speculative positions rather than the conservative, long-

URITIES In the Matter of the Arbitration Among Ingrid Saber Claimant vs . AWARD §89-01790 Edward D. Jones 5 Company Jim Schmidt Respondents Heard Before: Harry A. Carson Public Arbitrator Marshall Schugar Industry Arbitrator David H. Jaxvis Public Arbitrator CASK SUMMARY Claimant, Ingrid •:' Saber, alleged Respondents, Edward D. Jones & Company and Jin Schmidt violated federal securities laws , Michigan Blue Sky Law, perp

.IAN NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jack Brown Claimant vs. AWARD #89-01785 Norstar Brokerage Corporation Respondent Case Summary Claimant alleged that Respondent failed to properly execute sell orders of common stock in his account and did not follow his instructions for the executions. Respondent maintained that Claimant only received partial execution of his sell order due t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John Langford AtnJyn Langford Claimants vs. CASE #89-01783 AWARD Shearson Lehman Hutton, Inc. J. Evan MacWhirter Respondents CASE SUWARY Claimants, John and AtMyn Langford, allege they informed J. Evan MacWhirter, the registered representative with'the Respondent Brokerage firm, that they wanted a safe investment vehicle that would provide t

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between! Paul Shapiro Claimant(s) va, NOTICE OP ARBITRATION AWARD 89-01781 PaineWebber, Inc. and Henry Stueve Respondent(s) i This Notice of Arbitration Award superceded the Notice mailed to the Parties on October 20, 1989 CASE SUMMARY Claimant(s) Paul Shapiro alleged that Respondent(s) PaineWebber, Inc. and Henry Stueve made certain, misrepresent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Virginia A. Willis Claimant VS. Margate Securities, Inc. Jay Vermonty Ross Schneider James O'Brien Respondents CASE #89-01780 AWARD CASE SUMMARY Claimant alleges Respondents Margate Securities, Jay Vermonty and Ross Schneider failed to execute orders she gave for sale of stock. Respondent Jay Vermonty contends that wrongdoing, if any, oc

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02707 Olde Discount Corporation, claimant vs. Zhuoru and Guangyu Sun, respondents. ATTORNEYS: For Claimant Olde Discount Corporation ("Claimant"), Aaron L. Kleid, Esq., attorney for Olde Discount Corporation, Detroit, Michigan. Respondents Zhuoru and Guangyu Sun ("Respondents"), appeared Pro Se., Eugene, Orlando. DATE FILED: 6/14/1999 CASE SUMMARY: Claiman