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PREVATTE v. NAT. ASS'N OF SECURITIES DEALERS, INC.

Nos. K84-99 CA4, K86-116 CA4, and K86-152 CA4.

682 F.Supp. 913 (1988)

J. Jerome PREVATTE, and WACO Financial, Inc., Individually and as Alter Ego, of WACO Financial, Inc., Plaintiff, v. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., Its Agents, Officers, and Board of Governors, Individually, National Association of Securities Capital and Margin Committee, Individually, Its Officers and Agents, More Specifically, John J. Cox, Bradford Patterson, John T. Wall, James R. Yore, John E. Pinto, Jr., Craig Dearborn, Donald D. Watson, Bruce Wheeler, and Unassociated Persons, Jon C. Thompson, and Nancy J. Barber (Rose), Defendants. J. Jerome PREVATTE, Plaintiff, v. NATIONAL ASSOCIATION OF SECURITIES DEALERS INC., John E. McTavish, Thatcher W. Root, John B. Behrendt, Eugene H. Ridnicki, John R. Stephens, Robert M. Leonhardt, Patrick A. Noonan, Richard A. Pecaut, Richard C. Romano, Theodore M. Perkowski, William R. White, Michael J. Wyvill, King Traub, Patricia C. Ladovac, David E. Rosedahl, John R. Scott, Edward M. Silverstein, Clayton F. Brown, Mendel J. Engler, Paul A. Frederick, William A. Goldstein, Hal H. Smith, III, L. Gene Tanner, Ernest F. Rice, James E. Wade, H. Lawrence Parker, David Marcus, Gordon S. Macklin, Joyce Shanahan, Phillip Petraitis, James Ahern, Craig Dearborn, Donald D. Watson, John Cox, John Pinto, John Wall, Andrew Barnes, Frank J. Wilson, Bruce Wheeler, Dennis Taylor, Thomas Sargent, Kenneth V. Miller, the Midwest Clearing Corporation, Defendants. J. Jerome PREVATTE, Plaintiff, v. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., Defendant.

United States District Court, W.D. Michigan, S.D.

January 12, 1988.

Attorney(s) appearing for the Case

Theodore H. Amshoff and Norbert J. Arrington of Amshoff, Amshoff and Searcy, Louisville, Ky., Clark M. Olmstead, Kalamazoo, Mich., for plaintiff.

J. Jerome Prevatte, in pro per.

Hugh H. Makens, Eugene E. Smary, of Warner, Norcross & Judd, Grand Rapids, Mich., for NASD related defendants.

Frank J. Wilson, Andrew McR. Barnes, Mary S. Head, of Nat. Ass'n Sec. Dealers of Washington, D.C., for NASD Inc.

Nancy J. Barber and Jon C. Thompson, David A. Knickerbocker, Kalamazoo, Mich., Kenneth V. Miller, Nancy Kerastas, of VanderVeer, Garcia, Tonkin, Kerr, Heaphy, Moore, Sills & Poling, Grand Rapids, Mich., for defendants.

OPINION

BELL, District Judge.

Before this court are motions of the several defendants for dismissal and/or summary judgment, Rule 11 sanctions, and a permanent injunction. This action arises out of events relating to disciplinary action taken by the National Association of Security Dealers (NASD) against plaintiffs. The present action consolidates three suits that plaintiffs filed against the defendants.

The plaintiffs, J. Jerome Prevatte and WACO...

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