JUDD AARON NORMAN is currently employed as a Broker and/or Investment Adviser at MUTUAL SECURITIES, INC. located at 8055 O STREET, SUITE 125, SUITE 125, LINCOLN, NE, 68510.
JUDD AARON NORMAN has worked at MUTUAL SECURITIES, INC. since October 22, 2013
Disclosure History
JUDD AARON NORMAN has 1 Disclosure Event(s).
Date: April 01, 1989 Category: Customer Dispute Allegations: FRAUD, BREACH OF FIDUCIARY DUTY ANDCONVERSION. ALLEGED DAMAGES $65,000.00 - COMPENSATORY$3,000,000.00 - PUNITIVE Damage Amount Requested: $65,000.00 Settlement Amount: $65,000.00 Broker Comment: FIRM SETTLED FOR $65,000.00. BROKER DID NOTCONTRIBUTE AND ALSO SEE RESPONSE TO #9 BELOW. SHEARSON LEHMANHUTTON PAID TOTAL SETTLEMENT.ALTHOUGH I WAS NAMED IN THE SUIT, THE MAJORITY OFALLECATION CONCERNED TRADING ACTIVITY IN THE ACCOUNT WHILE ITWAS HANDLED BY ANOTHER A.E., J.W. VAN DRUNEN. I DID NOT BECOMEASSOCIATED WITH THIS ACCOUNT UNTIL AFTER J W VAN DRUNEN HAD LEFTTHE FIRM AND THE ACCOUNT WAS ASSIGNED TO MY ATTENTION. MR. VANDRUNEN HAS BEEN SUBJECT OF APPROXIMATELY 6 OTHER LAW SUITS ANDCUSTOMER COMPLAINTS, MOST OF WHICH HAVE BEEN SETTLED. MR. VANDRUNEN ALSO IS THE SUBJECT OF PENDING SRO INQUIRIES. IT IS MYUNDERSTANDING AND BELIEF THAT THIS MATTER WAS SETTLED ALMOSTEXCLUSIVELY BECAUSE OF MR. VAN DRUNENS HANDLING OF THE ACCOUNTAND OTHER PENDING MATTERS. FURTHER INFORMATION REGARDING THISMATTER CAN BE OBTAINED BY CONTACTING: MR. RICK APICELLA, ESQ.ATTORNEY WITH SHEARSON LEHMAN HUTTON, LAW DEPT. PHONE; 212-464-7200.
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