N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04822 Jonathan A. Pierce, claimant vs. Smith Barney, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Salt Lake City, UT. For Respondent appeared in-house counsel, Etta M. Gumbs, Esq., New York, NY. DATE FILED: October 3, 1997 CASE SUMMARY: Claimant alleged that respondent failed to follow his instructions to liquidate a portion of his account, but r

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. Claimant ELLIOT & BECKY RUBEN Respondents CASE NO. 88-99926 AWARD • On May 17, 1989 in Minneapolis, Minnesota, the undersigned arbitrator heard the controversy between the parties as set forth in submissions to arbitration signed on March 8, 1988 by Claimant, Merrill Lynch, Pierce, Fenner & Smith, Inc. Res

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, IN THE MATTER OF THE ARBITRATION between JOHN M. PEREGRIN 01aimant(s) vs. WILLIAM DAVIS PRUDENTIAL-BACHE SECURITIES, INC. Respondenr(s) ^ < 5> O \ AWARD #88-02885 The undersigned oeing the Armtrator selected tc review and determine a matter in controversy aetween the above-mentioned Claimant(s) and Respondent(s), set forth in a submission to arbi­ tration signed by the Claimant on

NATIONAL ASSOCIATION OF SECURITIES DEALERS In The Matter of Arbitration Among Trust U/W Martin Jaffe f/b/o, Hilda Jaffe, Jaffe Family Insurance Trust 1 and Jaffe Family Insurance Trust 3 Claimants vs. L.F. Rothschild, Unterberg, Towbin, Inc. Respondent Case #88-02450 Case Summary In the Statement of Claim filed with the National Association of Securities Dealers, Inc. on August 1, 1988 Claimants, Trust U/W of Martin Jaffe f/b/o Hilda J

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Bernard J. Luskin vs. Claimant ) ) Case #88-01724 Award E. F. Hutton & Co., Inc., a Corporation and Jac Stulberg Respondents Shearson Lehman Hutton Inc.. Cross-Complaintant vs. Bernard J. Luskin Cross-Respondent CASE SUMMARY Claimant Bernard J. Luskin filed this claim on May 26, 1988 against Respondents for fraudulent inducemen

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ZIEGENBEIN ASSOC., INC., EMPLOYEE'S PROFIT SHARING TRUST Claimant(s) V. . PAINEWEBBER, INC. Respondent(s) AWARD NA.SD NO. Sa-OlfifiQ On May 16, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on May 19, 1988 by Michael D. Stevens and Mervin W. Sarchet on behalf of Claimant

NATIONAL ASSOCIATION OF ScCl'F,: lES DEALERS, INC. In the Matter of Arbitration Between BILL S. HCGOWEN and CAROLYN MCGOWE^i Claimants v. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. Respondent NASD NO. 88-00553 CASE SUJOO^ Bill S. McGowen alleged as follows: and Caroiv- M. McGowen ("Claimants") 1. Claimants were persue.ied by a registered representative of Merrill Lynch to cztn a option account based on a statement by the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Peter E. Mulligan Christine Mulligan Claimants vs. Drexel Burnham Lambert, Inc. Richard Geisman George Feneis Respondents AWARD Case #8t^3017 #88-01194 #88-01195 CASE SUMMARY The claims Drexel Burnham Lambert, Inc. vs. Peter Mulligan, and Drexel Burnham Lambert, Inc. vs. Christine Mulligan were filed with the National Association o

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Adrienne and James Sindlinger Claimants vs. Prudential-Bache Securities, Inc. Respondent AWARD #88-01704 Case Summary Claimants Adrienne and James Sindlinger ("Sindlinqers") claims against Respondent Prudential-Bache Securities, Inc. ("Pru-Bache") arise out of the loss of an investment in the Government Plus Fund ("Fund") On November 25, 1983 Claimants

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-04820 Gaylen Leroy Miguet and Gaylen Leroy Miguet Trust, claimants vs. Scottsdale Securities, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se. - Plymouth, MN. For respondent appeared Mark Finnigan - St. Louis, MO. DATE FILED: 10/3/97 CASE SUMMARY: Claimant alleged failure to deliver stock. Claim Data Award Data Claim: $3,939.00 Award: $.00