N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimant James P. Beardsley 95-00766 Name of Respondent Howard Silverman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 13, 1995 Claimant James P. Beardsley ("Claimant"), who appeared Pro Se, alleged that Respondents Gruntal & Co., Inc. ("Gruntal") and Howard Silverman ("SUverman"), aggressively handled Claimant's account usin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frederick L. Scheffler, Custodian 95-00764 Name of Respondent Thomas James Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 13, 1995, Claimant Frederick L. Scheffler, Custodian ("Claimant"), who appeared Pro Se, alleged that Respondent Thomas James Associates,

» N.A.S.D. AWARD In the Matter of the Arbitration Between Name of William C. Lattis 95-00762 Name of Respondent Van Kampen Merritt, Inc. n/k/a Van Kampen American Capital Distributors CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 13, 1995, Claimant William C. Lattis, who appeared Pro Se, alleged that Respondent Van Kampen Merritt, Inc., did not pay him the required amount of interest

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Enrique & Marie A. Cantu 95-00760 Name of Respondents) William B Pilkey CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 13, 1995, Claimants Enrique and Marie A. Cantu, who appeared Pro Se, alleged that Respondent Bill Pilkey of misrepresented the suitability and return

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Alfred D. & Evelyn M. Schmidt JTWROS 95-00758 Name of Respondents Hanover Sterling & Co., LTD. Thomas E. Flamenco CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 13, 1995, Claimants Alfred D. & Evelyn M. Schmidt JTWROS, who appeared Pro Se, alleged that they purchased 400

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03862 Global Opportunities Services, Inc., Claimant vs. Investin Securities Corp., Respondent, ATTORNEYS: Claimant, Global Opportunities Services, Inc., ("Claimant"), appeared through its President, Allen Goss, Houston, TX. Respondent, Investin Securities Corp., ("Respondent"), appeared through its Operations Manager, Jay Proffitt, Dallas, TX. DATE FILED: September 5, 2000 CASE

N.A.S.D. AWARD KATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David Walton Matthews Case No: 95-00751 Name of Respondent Stein, Shore Securities successor in interest to Lifeco Securities Corp. REPRESENTATION For Claimant, David Walton Matthews ("Matthews"): Elsie C. Turner, Esq., of Maitland, Florida For Respondent, Stien, Shore Securities ("Stein"): Delmer C. Cowing III, Esq., o

- DEC.22.1998 5:37PM NftSD BOCA . • , * NO.407 P.2 \ ' N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Glenn J. Harris and Ellen Hards 95-00750 Name of Respondent Prudential Securities Inc. REPRESENTATION For Claimants Glenn J. Hams and Ellen Harris ("Hams 11 ): Tim B. Wright, Esq. of Warner, Pox, Sedgy, Dongey & Sweet, P,A,, Orlando, FL. For Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimants Kurt Levy Ruth Levy 95-00741 Name of Respondents PaineWebber, Inc. Neal A. Leschel REPRESENTATION For Claimants Kurt Levy and Ruth Levy ("Claimants") appeared Steven I. Adler, Esq. of the law firm of Cole, Schotz, Meisel, Forman & Leonard, P. A. located in Hackensack, New Jersey. For Respondents PaineWebber, Inc. ("PaineWe

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Mona L. Mulhollan and Case No. 95-00735 Names of Respondents Bruce Fridley and Kcniper Securities, Incorporated REPRESENTATION For Claimant, Mona L. Mulhollan: Walter T. Weathers, Jr., Esquire Sole Practitioner Houston, Texas For Respondents, Bruce E. Fridley and Kemper Securities, Inc.: Renan Sugarman, Esquire Everen Se