NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) BEAR STEARNS & CO., INC. ) Claimant ) v. ) NASD No. 88-01749 DONALD G. ZEIER Respondent ) ) CASE SUWARY Bear Stearns & Co.,Inc. ("Claimant") alleged that Donald G. Zeier ("Respondent") is liable to the Claimant for the debit balance which exists in the Respondent's account. Respondent denied the Claimant's claims. The Respondent alleged that c

Stipulated Award NASD In the Matter of the Arbitration Between: Lawrence I. Brant, Individually and on behalf of the Lawrence I. Brant Revocable Trust, Claimant v. Noble International Investments, Inc. (a/k/a The Noble Financial Group), Jerry Perlman and Nico P. Pronk, Respondents Case Number: 01-3271 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Lawrence I. Brant, Individually and on behalf of the Lawrence I. Brant Revocable Trust,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In tne Matter of the Arbitration Between Ralph S. Tyler Claimant vs. Shearson Lehman Mutton, Inc. Michael B. Segal Respondents CASE 188-01743 AWARD CASE SUMMARY Claimant, Ralph S. Tyler, alleges that his account executive, Respondent Michael B. Segal, provided him with incorrect advice, improper recommendations and mishandled transactions in Claimant's accounts. Specifically, Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Catherine L. Boinski Claimant(8) vs 88-01736 Stuart James Co., Inc., Randall Dawson and Michael Cahan Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Catherine L. Boinski alleged that Respondents Stuart James Co., Inc., Randall Dawson and Michael Cahan that Respondents committed unauthorized trading and Churning of Claimant's accou

NATIONAL ASSOCIATION OF SECURITIES DEALERS IN THE MATTER OF THE ARBITRATION BETWEEN Herman Weiset vs. Shearson Lehman Hutton, Inc. and Natalie Perlman Claimant Respondents Case 188-01684 Case Summary Claimant Herman Weiser alleged Respondents Shearson Lehman Hutton, Inc. and Natalie Perlman breached the fiduciary duty owed to the Claimant by investing his account substantially in investments unsuitable to his investment objectives an

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Jacque Bourque Claimant(a) vs. 88-01677 Oppenheimer & Co., Inc. Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Jacque Bourque alleged that Respondent(a) Oppenheimer & Co., Inc. failed to deliver stock certificates purchased by the Claimant and therefore Claimant could not sell said stocks when the price declined. Respondent(s)

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration BetweenJ Roger Valmy Claimant ) Award NASD #88-01667 vs. Shearson. Lehman Hutton, Inc. Respondent SUMMARY OF ISSUES Claimant Roger Valmy filed this claim on May 23, 1988 against Shearson Lehman Hutton, Inc. for negligence and misrepresentation based upon the failure to disclose material information. Specifically, Claimant alleged that on December 14 and 15, 1987 up

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Sylvia Anderson 88-01655 Claimant vs. Gary Welte, Ron Wheeler and Stoneridge Securities, Inc. Respondents OATH AND AWARD OF ARBITRATOR Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or relate

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant , G. Earl Cummins, individually and as Trustee U/T DTD 02/19/88 by G. Earl Cummins and Case Number: 04-00281 Hearing Site: Troy, Michigan Respondent Merrill Lynch Pierce Fenner & Smith. Inc. • . . ' ' NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES G. Earl Cummins, individually and as Trustee U/T DTD 02/19/88 by G. Earl Cummins ("Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between La Jo!la Holdings Pension Trust Claimant vs. Case #88-01235 Award Securities Settlement Corporation Respondent CASE SUMMARY This proceeding was commenced by the Claimant LaJolla Holding Pension Trust ("LJH") against Securities Settlement Corporation ("SSC") and arises from a trading account held by Claimant at LJH from the period of June 28, 198