NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Theodore J. Suleski and Carol E. Suleski Claimants vs. ) Case #88-01775 Award Philips Appel & Walden, Inc. ) Respondent ) 1 The undersigned, being the arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimants and Respondent as set forth in a submission to arbitration signed by the Claimants on June 25,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between T. Jack Bennington and Rita Claimant(s) Bennington vs. Shearson Lehman Brothers, Inc. Respondent(s) and Cesar L. Portugal, Jr. CASE NO. 88-01773 SUMMARY OF ISSUES This case was filed on June 6, 1988. Claimants alleged that Respondents made purchases in SafeCard Services without authorization or approval by Claimants. Claimants alleged that this constitu

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JACK GENOVA ) Claimant(s) ) and ) ) CASE NO. 88-01762 MERRILL LYNCH, PIERCE, FENNER & ) SMITH, INC. AND RONALD KRAUSE ) Respondents ) CASE SUMMARY Jack Genova ("Claimant") alleged as follows: 1. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Ronald Krause ("Respondents") misrepresented the commission arrangements regarding the American Ca

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. NASD NO. 88-01754 In the Matter of Arbitration Between) RONALD SCHHARZ Claimant v. R. G. DICKINSON & CO. Respondent SUWARY OF CASE Ronald Schwarz ("Claimant") alleges that R. G. Dickinson & Co. ("Respondent") misrepresented the balance in the Claimant's account, misrepresented that 5400 shares of Blinder International Enterprise, Inc. had been purchased for the Claimant's account. Clai

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)