AWARD NASD Regulation, Inc. CASE: 98-01790 Marvin Simmons, claimant vs. Investors Associates, Inc., respondent. ATTORNEYS: Claimant Marvin Simmons appeared Pro Se., New Tazewell, TN Respondent Investors Associates, Inc., failed to answer the claim. DATE FILED: 05/15/1998 CASE SUMMARY: Claimant alleged that respondent sold his Consolidated Freight common stock without authorization, and also purchased Superior Supplements warrants instead of Supe

AWARD NASD Regulation, Inc, In the Matter of the Arbitration Between Names of Claimants Andres Montejo & David A. Black, JTWROS 98-01787 Names of Respondents Alan M. Kletchka Sterling Foster & Company, Inc. REPRESENTATION Claimants Andres Montejo ("Montejo") and David A. Black ("Black") appeared pro se. Respondent Alan M. Kletchka ("Kletchka") appeared pro se. L For Respondent Sterling Foster & Company, Inc.: Adam Lieberman of St

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Lillian Goldberg, (Claimant) vs. National Discount Brokers, Arthur Kontos, and Sherwood Group, (Respondents) Case Number: 98-01786 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Lillian Goldberg, hereinafter referred to as "Claimant": Sam Polur, Esq., sole practitioner, Bronx, NY. Respondents, National Discount Brokers ("NDB"), Arthur Kontos ("Kontos"), and S

U7/18/U1WED 15:03 F A X N A S D REGULATION Award NASD Dispute Resolution, Inc. !n the Matter of the Arbitration Between: m QuicK & Reilly, Inc., (Claimant) v, Ramy Saif Shenouda, (Respondent) Case Number: 00-03049 Hearing Site: Chicago, Illinois Cff PARTIES Claimant Quick & Reifiy, Inc. ("Quick & Reilly"): Michael V. Connolly, Esq., Chicago, Illinois. Respondent Ramy Saif Shenouda ("Shenouda") was pro s&. CASE INF

AWARD NASD Regulation, Inc. CASE: 98-01779 Alexander and Dorothy Abashian, claimants vs. Waterhouse Securities, Inc. , respondent. ATTORNEYS: Claimants appeared Pro Se. - Blackburg, VA. For respondent appeared Janis Campanella, Esq., - New York, NY. DATE FILED: 5/14/98 CASE SUMMARY: Claimant alleged respondent disposed of shares of common stock without authorization and unauthorized trading. Claim Data Award Data Claim: $8,850.00 ' . Award

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between The John A. Vann Company Claimants, and No. 98-01776 Jeff M. Burandt, Lockwood Financial Services, Inc. and Jim Stewart Respondents. REPRESENTATION OF PARTIES Claimant, The John A. Vann Company was represented by Lawrence Fischman, Esquire and Richard E. Young, Esquire of Glast, Phillips & Murray, Dallas, Texas. Third part Respondent John Vann was represented by Lawrenc

07/17/02 WED 08;43 FAX NASD REGULATION El 002 Award NA?D Dispute Resolution, Inc. In the Matter of the Aibitxation Between John F. Baumer, Adeline R. Bossert; Gerald R. Bossert; Richard L. Bossert; Susan C. Bossert; Deltaforms, Ltd., Emjayco HBO; Donna Mae F- Falk; Betty J. Lipp; Judith 0. O'Connell; Jean R. Palmisano; Janet A. Reichart; Thomas J. Weber, Jeff Acerbi; Jennifer L, Pulizos; Carol S. Beck; Mark P. Kuehn; and William H. Ubert Case No

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Henry Hanse and Settle Hanse. (Claimants) vs. Texas Capital Securities, Inc., John Goad, Charles Adams and Investors Trading Corporation, (Respondents). Case Number: 98-01773 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants, Henry Hanse and Bettie Hanse, hereinafter collectively referred to as "Claimants": Greg Tilton, Esq., Houston. Texas. Respondent, Texas Capita

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Dirk and Margaret Johnson ("Claimants") v. Dean Witter Reynolds Inc. and James Higgins Case Number: 98-01770 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimants Dirk Johnson and Margaret Johnson hereinafter collectively referred to as "Claimants": Dexter B. Johnson, Esq., Mallon & Johnson, P.C., Chicago, Illinois. Respondents Dean Witter Reynolds, Inc. ("Dean Witter")

AWARD NASD Regulation, Inc. . In the Matter of the Arbitration Between David Neubauer, Claimant. v. No. 98-01763 Sabel Management, Inc.. Advanced Investment Planners, and Ronald L. Wallen, Respondents. REPRESENTATION OF PARTIES Claimant David Neubauer ("Claimant") was represented by Julie D. Reed, Esq. of Maddin, Hauser, Wartell, Roth, Heller &. Presses, P.C. located in Southfield, Michigan. Respondent Ronald L. Wallen ("Wallen") app