N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05108 David Patrick Shaw, claimant v. Presidential Brokerage, Inc., Daniel G. Lempe and Anthony J. Campen, respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Los Angeles, CA For Respondents appeared Gregg A. Johnson, Esq. - San Diego, CA. DATE FILED: 11/15/96. CASE SUMMARY: Claimant alleged misrepresentation and failure to supervise a brid

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Janet Gordon, Claimant, and No. 96-05105 Charles Schwab & Co., Inc., Respondent. REPRESENTATION OF PARTIES * " Claimant, Janet Gordon ("Gordon"), was represented by Everett B. Gibson, Esquire, located in Memphis, Tennessee. v' ;?his, T:- Respondent, Charles Schwab & Company, Incorporated ("Schwab"), was represented bycRhonda Y. Jones, Esquir

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between, Name of Claimant Cynthia S. Surgent 96-05103 Name of Respondent Laidlaw Equities, Inc. CASE SUMMARY In a case tiled with the National Association of Securities Dealers Regulation, Inc. on November 15. 1996, claimant Cynthia Surgent ("claimant"), who appeared Pro Se, alleged that respondent Laidlaw Equities, Inc. ("Laidlaw") was negl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Prime Charter, Ltd. Case No. 01-02229 Name of Respondent Scott Lynch Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Prime Charter, Ltd. ("Prime"), hereinafter referred to as "Claimant": Ronald Shindler, Esq., Fowler White Burnett, P.A., Miami, Florida. Respondent Scott Lynch ("Lynch") appeared pro se. CASE INFORMATION St

NASD REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ' Name of Claimant Hessein M. Afify 96-05095 Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION Claimant Hessein M. Afify ("Afify") was represented by Donald W. Jones, Esq. and Rehan N. Khawaja, Esq. of the Law Offices of Rehan N. Khawaja, Jacksonville, Florida until, on or about, September 8, 1997 at which time Claim

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Gregg Bostervs. Stratton Oakmont, Inc. and John Carbone. Case Number: 96-5094 HearinaSite: Minneapolis, Minnesota REPRESENTATION OF PARTIES Claimant,Gregg Boster ("Boster")hereinafterreferredto as "Claimant": Eric J. Peck, Esq., Lindquist & Vennum, Minneapolis Minnesota. Claimant was formerly represented by Rebecca E. Bender of Bender and Associates, P.A., located in Minneapolis, Minn

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant William A. Muller 96-05086 Name of Respondents Island Securities, Inc. Jonathan E.S. Bekhor Frank Duca Shakespeare Newsome John J. Labeck Michael Galterio John Lee REPRESENTATION For Claimant William A. Muller ("Claimant") appeared Steven J. Popkin, Esq., a sole practitioner with offices in Brooklyn, New York. For Respondents Island

NASD REGULAION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Joseph M. Leone 96-05085 Name of Respondent Gruntal & Co., Inc. REPRESENTATION For Claimant Joseph M. Leone ("Claimant") appeared Ross B. Intelisano, Esq. and Daniel Katz, of Pressman and Associates, located in New York, New York. For Respondent Gruntal & Co., Inc. ("Respondent") appeared Harry D. Frisch, Esq., in-house counsel, located in New York, New York

NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION > ~ matter of the Arbitration Between Name of Claimant(s) PaineWebber Incorporated Arbitration No. 96-05080 Name of Respondent(s) John C. Frohling REPRESENTATION For Claimant: Kathryn L. Krebs, Esq., PaineWebber Incorporated, Los Angel.es, California : For Respondent: John B.M. Frohling, Esq. ( Frohling, Hudak & McCarthy, P.C., Roseland, New Jersey CASE INFORMATION

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between , Name of Claimant Shlomo Hoory 96-05078 Name of Respondents Joseph Carrino Hampshire Securities Corporation CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on November 1 L 1996, claimant Shlomo Hoory ("claimant"), who appeared Pro Se, alleged that respondents Joseph Carrino ("Carrino") and