N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert M. & Florine R. Morgan Revocable Trust, Robert M. Morgan, as Trustee 93-05395 Name of Respondent Merrill Lynch, Pierce Fenner & Smith Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on December 28, 1993, Claimant Robert M. and Florine R. Morgan Revocable Trust, Rob

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ralph S. Coggovia 93-05388 Name of Respondents Hibbard Brown & Co., Inc. Michael Martone CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 30, 1993, Claimant Ralph S. Coggovia, who appeared Pro Se, alleged that he purchased 1000 shares of First National Realty Associates, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lilly Teich 93-05353 Name of Respondent Waterhouse Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 28, 1993, Claimant Lilly Teich, who appeared Pro Se, alleged that Respondent Waterhouse Securities, Inc. made an error when it confirmed to her that her order to

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Virginia M. Garrison 93-05327 Name of Respondents Smith Barney Harris Upham & Co., Inc. Daniel A. Petit CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 23, 1993, Claimant Virginia M. Garrison, who appeared Pro Se, alleged that Respondent Daniel A. Petit ("Petit"), a broke

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Suzanne R. Kowalski 93-05244 Name of Respondents McLaughlin, Piven, Vogel Incorporated CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 20, 1993, Claimant Suzanne R. Kowalski, through her counsel Neil M. Rose, Esq., Glen Ellyn, Illinois, alleged that she purchased a quantity o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Melvin W. and Rita Kroot 93-05226 Name of Respondents Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim Filed with the National Association of Securities Dealers, Inc. on December 20, 1993, Claimants Melvin W. and Rita Kroot, who appeared Pro Se, alleged that they owned an unspecified number of Rogers Communication zer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Helga I. Herrera, Claimant v. American Express Financial Advisors, Inc., Mark R. Dennie and Steve Froling, Respondents Case Number: 00-03742 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant: Charles Ferguson, Esq. Law Offices of Charles Ferguson Seattle, Washington For Respondents: Scott Breneman, Esq. Breneman Law Finn Seattle, Washington

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 00-00386 Owen Firfer vs. Regal Discount Securities, respondent. ATTORNEYS: Claimant Owen Firfer ("Claimant"), appeared Pro Se., Chicago, IL. For Respondent Regal Discount Securities, Inc. ("Respondent"), James H. Mukoyama Jr., Executive Vice President of Regal Discount Securities, Chicago, IL. DATE FILED: January 1, 2000 ~~~~ CASE SUMMARY: Claimant alleged th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Fred C. Sanders 93-05219 Name of Respondents The GMS Group Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 20, 1993, Claimant Fred C. Sanders, who appeared Pro Se, alleged that he purchased $25,000.00 of DuvaJ County, Florida FHA (Claiitorne Apartments, Jacksonville,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William W. and Elizabeth C. Hoeschle 93-05214 Name of Respondents Leo James Roy Harry Warren Moses CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 20, 1993, Claimants William & Elizabeth Hoeschle, who appeared Pro Se, alleged that Respondent Leo James Roy, through A.G. Ed