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

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF ARBITRATION ) BETWEEN ) ) LAWRENCE E. THOMAS, TRUSTEE OF ) THE HARRINGTON CLIFFORD TRUST ) ) NO. 88-01234 Claimants, ) j DEAN WITTER REYNOLDS, IW ? AND ) ET. AL. ) Respondents . ) CASE SUMMARY Lawrence E. Thomas, Trustee of the Harrington Clifford Trust (Thomas) alleged as follows: 1. James W. Harrington and his wife Carole A. Harrington ("Settlors"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley Dean Witter Inc., d/b/a Morgan Stanley vs. Rose Belle Kaback and Aaron D. Kaback Case Number: 01-03270 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Morgan Stanley DW Inc. For Respondents: Aaron D. Kaback Rose Belle Kaback Catherine L. Dellecker, Esq. Jones Bell Abbott Fleming & In Propria Persona Calimes

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Fazal and Jamil a Karim ) ) Claimants ) and ) A W A R D ) 88-01227 E.F. Mutton & Co., Inc. ) James B. Watson ) Respondents ) ) CASE SUMMARY In a claim filed with the NASD on April 15, 1988, Claimants Fazal and Jamil a Karim ("the Kariras") alleged that Respondents E.F. Hutton & Co., Inc. ("Mutton") and James Watson ("Watson")

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William 0. McKeighen and Ann E. McKeighen Claimants vs. ) ) Case #88-01214 Award Kennedy, Cabot 8 Co., Inc. Respondent On April 5, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants on April 12, 1988, and by Respondent on June 16, 1988. The arbitration panel, hav

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) HAROLD WEINSTEIN AND RONNIE WEINSTEIN and Claimants TEXAS FIRST DISCOUNT BROKERS, LISA PHILLIPS, LARRY KELLY AND MARK RUSSELL CASE NO. 88-01203 AWARD Respondents g On April 3, 1989 in Houston, Texas, the undersigned heard the controversy between the parties as set forth in submissions to arbitration signed by the Claimants on April 11,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Seymour & Sybil Robinson 90-00446 Name of ReSPQPderrti ts) Merrill Lynch, Pierce Fenner & Smith Inc Edward Marks Claimants Seymour and Sybil Robinson were represented by Graham Clark, Eaq. of Mahoney & Hagjberg, Minneapolis, Minnesota. Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Edward Marks ware represen