NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between ) DANIEL W. SOBIERAY ) Claimant ) v. ) CASE NO. 88-02036 PAINEWEBBER, INC. ) ) Respondent ) CASE SUMMARY Claimant Daniel W. Sobieray ("Sobieray") alleged that the Respondent PaineWebber, Inc. ("PaineWebber") engage in unauthorized trading of Claimants account in a series of transactions in June through September 1985. In addition to unauthorized trading, t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD Christopher K. Chung Claimants and Scarlet S. Chung ) ) CASE #88-02032 vs. Merrill, Lynch, Pierce, Fenner & Smith Respondents and Richard J. Radigan SUMMARY OF ISSUES This case was filed on July 5, 1988. claimants opened an investment account with Respondent on or about June, 1986. Claimants allege that they informed Respondents that the funds were earmarked for their retirement

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jonathan Lumb Claimant(a) vs. Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-02030 CASE SUMMARY Claimant Jonathan Lumb alleged that Respondent Blinder, Robinson & Co., Inc. made misrepresentations with respect to an investment. Respondent failed to respond to the claim within the time mandated by the NASD'a Code of Arbi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dr. Samuel Meyer Claimant * North American Investment Corporation and Jordon Nolan Respondents Case #88-02026 AWARD CASE SUMMARY Claimant alleged that Respondents executed an unauthorized regular short sale of shares of common stock on or about February 23, 1987 contrary to Claimant's instructions to execute a "short sale against the box". The C

'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