N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roger G. and Barbara J. Gemeinhardt JTWROS 93-05204 Name of Respondents Hibbard Brown & Co., Inc. Robert C. McAlexander CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 16, 1993, Claimants Roger G. and Barbara J. Gemeinhardt, who appeared Pro Se, alleged they told Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Henry W. Petrin Thomas C. and Helen C. Bruett 93-05135 Name of Respondents GlenFed Brokerage Services Pat Mulrooney Glendale Federal Bank Christine A. Duncan Julie Buffolino CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 14, 1993, Claimants Henry W. Petrin, T

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Irene Butler Lozano 93-05086 Name of Respondents Matt C. Moniak CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 8, 1993, Claimant Irene Butler Lozano, who appeared Pro Se, alleged that Respondent Matt C. Moniak purchased for her account 1000 warrants of Cybernetics, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant W. Jason Garland 93-05074 Name of Respondent Ronald Ardt CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 8, 1993, Claimant W. Jason Garland, who appeared Pro Se, alleged that Respondent Ron Ardt of Harris Securities, Inc. made fraudulent investment misrepresentations when he r

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Arthur A. Lindefleld 93-05020 Name of Respondents Hanover Sterling & Co., Ltd. RPR Clearing Services CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 3, 1993, Claimant Arthur A. Lindefield, who appeared Pro Se, alleged that his broker at Respondent Hanover Sterling & Co.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Luis R. Alonzo 93-05002 Name of Respondents Chemical Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 2, 1993, Claimant Luis R. Alonzo, who appeared Pro Se, alleged that Respondent Chemical Securities, Inc. failed to execute his order to sell 912 shares of

N.A.S.n. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Robert and Ann N. Scherr 93-04980 Name of Respondent First Montauk Securities Corporation CASESUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 2, 199*3, Claimants Robert & Ann N. Scherr, who appeared Pro Sc, alleged ihat Respondent First Montauk Securities Corporation, through its registered

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harold & Georgia L. Archbell 93-04949 Name of Respondents William Slover CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 24, 1993, Claimants Harold and Georgia L. Archbell, who appeared Pro Se, alleged that they purchased shares of Cascade International Incorporated ("Cas

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION- INC. CASE: 00-03739 Saad Abdoush, claimant vs. FAS Wealth Management Services, Inc. and James DeMers, respondents. ATTORNEYS: Claimant, Saad Abdoush, appeared Pro Se, Irvine, CA. For Respondent FAS Wealth Management Services, Inc. appeared Randy L. Merritt, Esq , Sarasota, FL. Respondent James DeMers appeared Pro Se, Laguna Niguel, CA. DATE FILED: August 7, 2000 CASE SUMMARY: Claimant al

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David J. Preacher 93-04936 Name of Respondents Josephthal Lyon & Ross, Inc. Edward J. Muller James Greene CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 30, 1993, Claimant David J. Preacher, who appeared Pro Se, alleged that Respondents Edward J. Muller and James Gree