'ATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Susan Galian and Charles Galian Claimants vs. Shearson Lehman Brothers, Inc. and James Hanley Respondents AWARD Case #88-02025 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 22, 1989 Claimants Susan Galian and Charles Galian alleged the Respondents breached the fiduciary duty owed to the Claimants

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Ray C. McDaniel ) ) Claimant(s) ) v. ) ) CASE NO. 88-02023 B. C. Christopher Securities Co. and ) AWARD Richard C. Jones ) ) Respondent(s) ) On June 1, June 2, and June 6, 1989, in Denver, Colorado, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on June 22, 1988

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Javid S. Shemirani Alicia Shemirani J.S. Investment Co. Claimants vs. PaineWebber, Inc. John Zohr Respondents ) ) AWARD ) NASD NO. 88-02014 1 SUMMARY OP ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on June 22, 1988. Claimant alleged: breach of implied duty of care, negligence, lack

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Matthew Lewandowski Anna Lewandowski vs. Claimants Merrill Lynch Pierce Fenner & Smith, Inc. John F. Braca Peter Massari Sheldon Bausk Respondents CASE #88-02011 AWARD CASE SUMMARY Claimants Matthew and Anna Lewandowski alleged Respondents Merrill Lynch Pierce Fenner & Smith, Inc., John F. Braca, Peter Massari and Sheldon Bausk entered

N.A.S.D. AWARD - NATICNAL ASSOCIAHCN OF SECURITIES DEAI£RS In the Matter of the Arbitration Between. Name of Clajjnant, PaineWebber, Inc. 88-02008 Mame of Resporyfent /Counter— Claimant; Dr. Stanley Stern Names of PaineWefaber, Inc. and Richard Restuccia (IP PAWPIKK PaineWebber, Inc. and Richard Restuccia were represented by Brigitta K. Slegel, Esq. of PaineWebber, Inc., Weehawken, New Jersey. Stanley Stern was represented by Nic

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between Jack D. Parker Claimant vs. AWARD t88-02003 Fidelity Investments Respondent CASE SUMMARY Claimant Jack D. Parker alleged in a first claim that Respondent Fidelity Investments negligently exchanged mutual fund securities from a Select Money Market Account to a Select Industrial Materials Account. Claimant further alleged in a .second claim that F

Award NASD Dispute Resolution, Inc. SEP 17 2002 In the Matter of the Arbitration Between: Name of the Claimant j Dr. Burton Zeiger, as trustee for the South Chicago Eye Associates, Ltd Defined Benefit Plan , Name of the Respondent | Strong Investments, Inc. Case Number: 01-03288 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant, Dr. Burton Zeifeer, as trustee for the South Chicago Eye Associates, Ltd. Defined Ben

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD 188-02001 In the Matter of the Arbitration Between E.F. Hutton, Inc. Claimant VS. Jesus I. and Alicia A. Lizarazo Respondents Case Summary The Claimant seeks $46,239.95 plus interest and costs which sun represents a debit balance in the Respondents account. Respondents seek $250,000.00 in compensatory damages plus interest, attorney fees, costs and $1,000,000.00 consequential and punit

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Helen E. Whitcomb, vs. Smith Barney, Harris Upham & Co., Inc., Claimant, Respondent. Case /88-01999 Award Heard before the members of the Arbitration Panel: Arieh Leo Douer Leonard E. Pacun Richard P. Greene, Esq. CASE SUMMARY This claim was filed with the hearing was conducted on July 7, 1989 a total of two (Z) sessions. NASD, I

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of the Arbitration Among * Hsue Tung * Claimant * vs * Award Vanderbilt Securities, Inc. * 88-01993 and * Paul Carvajal * Respondents CASE SUMMARY In a claim filed by the Claimant on June 21, 1988, Claimant Hsue Tung ("Claimant") alleged the Respondent, Paul Carvajal ("Carvajal") made material misrepresentations to Claimant to induce the Claimant to purchase First Hou