NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Harry L. Carter, Jr. and Ernestine Carter Claimant(s) vs. 89-00932 Investors Center, Inc. and Wall Street Clearing Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Harry L. Carter, Jr. and Ernestine Carter alleged that Respondent(s) Investors Center, Inc. and Wall Street Clearing Co. mishandled their account. Respondent(s

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Marguerite Stone Claimant(s) vs. 89-00929 Xcel Securities, Inc. Respondent{s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Marguerite Stone alleged that Respondent(s) Xcel Securities, Inc. made misrepresentations. Respondent(s) denies all Claimant's allegations. RELIEF REQUESTED Claimant(s) Marguerite Stone requested damages of One Tho

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02601 consolidated with 99-2602 Connie J. Ridzmski and Alan Ridzmski, claimants vs. Merrill Lynch Pierce Fenner & Smith, Inc., and Suellen Cramer, respondents, vs. Stephen E. Berube, third party respondent. ATTORNEYS: Claimant Connie J. Ridzmski ("Claimant"), appeared Pro Se., Peachtree City, GA. Claimant Alan Ridzinski ("Claimant") (collectively "Claimants"), app

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Janet A. Habas Claimant First Jersey Securities, Inc. and Oonald Ray Hayes Respondents AWARD Case Summary Claimant, Janet A. Habas ("Claimant") alleged that Respondent First Jersey 5?C'jr?ties ("First Jersey") wi Respondent Donald Ray Hays ("w^yp«;"> ni^r»n Claimant in unsuitable and highly speculative investments. Claimant alleged that she made it clear

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Christopher D. Bach Claimant(s) vs. 89-00927 Donaldson Lufkin & Jenrette and Michael Wilson Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Christopher D. Bach alleged that Respondents) Donaldson Lufkin & Jenrette and Michael Wilson misrepresented the risk associated with a security purchased by Claimant. Respondent(s) deni

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bonnie Sena vs. Meyer, Kohn & Co. Lou Meyer Larry Kohn Claimant Respondents AWARD #89-00922 Case Summary Claimant claimed for recision based on unsuitable investment recommendations for six (6) securities as stated in Statement of Claim of Bonnie Sena. Respondents denied each and every allegation in Claimant's claim. Relief Requested C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Russell M. Bennett Claimant(s) vs. 89-00921 Prudential-Bache Securities, Inc., Robert S.C. Peterson, Inc. and Peterson Financial Corp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Russell M. Bennett alleged that Respondent(s) Prudential-Bache Securities, Inc., Robert S.C. Peterson, Inc. and Peterson Financial Corp. fa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Sue Audeh Claimant ) vs. ) AWARD ) Shearson Lehman Hutton, Inc. Respondent ) CASE NO. 89-00920 SUMMARY OF ISSUES Claimant alleged that Respondent breached its fiduciary duty to her through the actions of the non-party broker, that her account was churned with the intent to defraud her, that her funds were placed in speculative investments, particula

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ALDO REMO, vs. DEAN WITTER REYNOLDS, INC. and MARTHA DOBRODZIEJ. Claimant, Case #89-00914 Award Respondents, Heard before the member of the Arbitration Panel: Arieh Leo Douer CASE SUMMARY This claim was filed with the NASD, Inc. on March 27, 1989. The hearing was conducted in Fort Lauderdale, Florida on January 11, 1990 with a total of one (

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donald E. Snyder Claimant(s) vs. 89-00912 Graystone Nash, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Donald E. Snyder alleged that Respondent(s) Graystone Nash, Inc. sold securities to Claimant with the knowledge that Respondent's impending change in corporate status would have an adverse effect on the market price