N.A.S.D, REGULATION, INC. AWARD CASE: 98 - 01460 ^ Bernard Sapir, claimant vs. Carl Ceder and BA Investment Services, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se. - Chatsworth, CA. For respondents appeared Stephanie A. Secor, Esq., - Oakland, CA, DATE FILED: 4/20/98 CASE SUMMARY: Claimant alleged backend load fee was incorrectly assessed. Claim Data Award Data Claim: $943.70 Award: $.00 Filing Fee: $.00 Filing Fee: $.00 Other: $.0

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William J. Sarich, (Claimant) vs. Steven Williams, Robert Todd Financial Corp., Hanifen, Imhoff Clearing Corp., Westfield Financial Corporation, and Dickinson & Co., Inc., (Respondents) Case Number: 98-01457 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, William J. Sarich, hereinafter referred to as "Claimant", appeared pro se. Previously represented

Award NASD Regulation, Inc, In the Matter of the Arbitration Between: Max K. and Johanna E. Liebmann (Claimants) vs. Janney Montgomery Scott Inc. Steven Rubel, Howard Scherer (Respondents) vs. Michael Truman Farnsworth (Third Party Respondent) Case No. 98-01446 Hearing Site; New York, New York REPRESENTATION OF PARTIES Claimants, Max K. Liebmann ("M. Liebmann") and Johanna E. Liebmann ("J. Liebmann"), hereinafter collectively referred to as "Claiman

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Herbert Meyer and Betty Meyer vs. EBI Securities Corp. (k/n/a Global Capital Securities Corp.), Anousone Michael Savanh and William Baxter. Case Number: 00-02993 Hearing Site: Denver, Colorado REPRESENTATION OF PARTIES Claimants, Herbert Meyer ("Herbert") and Betty Meyer ("Betty"), hereinafter collectively referred to as "Claimants": Mark Appleton, Esq., Robinson, Waters &

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant American Investment Services, Inc. Case No. 98-01444 Names of Respondents Mohammad Ali Mehri and Linda R. Mehri REPRESENTATION OF PARTIES For Claimant American Investment Services, Inc. ("AIS"), hereinafter referred to as "Claimant 1 *: Gregory J. Minana, Esq. of the law firm of Blackwell, Sanders, Peper, Martin, LLP, St. Louis, Missouri. For Re

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimaat Henry E. Plyer Case Number and 98-01439 Name of Respondents First Allied Securities, Inc. Welco Securities, Inc. REPRESENTATION OF PARTIES For Henry E. Plyer ("Claimant") appeared Stephen W. French, Esq., a sole practi oner, located in Brookville, Pennsylvania. For First Allied Securities, Inc. ("First Allied") appeared Elizabeth Hoop Fay, Esq,, of

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Harriet Keith and Case Number 98.01438 Names of Respondents Edward D. Jones & Co. and Douglas Reese REPRESENTATION OF PARTIES Harriet Keith (hereafter referred to as "Claimant") was represented by Gail Boliver, Esq. of Boliver Law Firm, located in Marshalltown, Iowa. Edward D. Jones & Co. and Douglas Reese (hereafter collectively referred to as "Respond

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Hyman Goldberg 98-01430 Names of Respondents Richard Scott Asset Management, Inc. Jeffrey Malken REPRESENTATION For, Claimant: Howard J. Milchman, Esq. of Howard J. Milchman, P.A,, Coral Springs, FL, and Vincent J. D'Antonio, Esq. of the Law Offices of Vincent J. D'Ahtonio, P.A., Fort Lauderdale, FL. ' i •• v.\; \ ! i Respondent Richard Scot

AWARD NASP Regulation, Inc. . In the Matter of the Arbitration Between Name of Claimant Bradley and Helena Anderson and j 98-01423 Name of Respondent \ Gnmtai& Co., L.L.C. Robert Goldstein REPRESENTATION OF PARTIES Bradley and Helena Anderson ("Claimants") were represented by Kevin J. Osterkamp, Esq., Roetzel & Andress, Columbus, Ohio, Gruntal & Co., L.L.C. ("Respondent Gruntal") was represented by Evan Charkes, Esq., Gruntal & Co.,

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Mary C. Hanford, by her Agent/Attorney in Fact John Van Hanford, Jr. NASD CASE NO. 98-01422 Names of Respondents/Counterclaimants/ Third Party Claimants Marion Bass Securities Corporation and Roger Reynolds Name of Third Party Respondent John Van Hanford, Jr., Individually, as Agent/Attorney in Fact for Mary C. Hanford REPRESENTATION For Cla