NASD REGULATION. INC. AWARD In the Matter of the Arbitration Between Name of Claimant Gruntal & Co., LLC vs. Case No. 98-00986 Name of Respondent Mark Chammas REPRESENTATION For Claimant Gruntal & Co., LLC ("Claimant") appeared David W. Schmidt, Esq. of the law firm Lubiner & Schmidt, located in Kenilworth, New Jersey. Respondent Mark Chammas ("Respondent") did not enter an appearance in this matter. CASE INFORMATION Claimant's S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Eric Nathanson Case No. 98-00985 Names of Respondents Argent Securities, Inc. Joseph Catena Louis Phillips Reames REPRESENTATION OF PARTIES For Eric Nathanson ("Nathanson"), hereinafter referred to as "Claimant": Arnold Y. Steinberg, Esq., Arnold Y. Steinberg, P.C., Boca Raton, Florida. For Respondent Argent Securities, Inc. ("Argent**): G.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jane K. Borden, (Claimant) vs. Michael Krost, M.D.K., Inc. and Royal Alliance Associates, Inc.,. (Respondents). Case Number: 98-00983 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Jane K. Borden ("Borden"), hereinafter referred to as "Claimant": P. Randall Crump, Esq., Dow, Cogbum & Friedman, P.C., Houston, Texas. Respondents, Michael Krost ("Krost") and M.D.K.,

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Harold Hunter White, HI 98-00979 Name of Respondent J.P. Morgan Securities, Inc. REPRESENTATION For Claimant: Bruce V. Schewe, Esq. of the law firm of Phelps Dunbar, L.L.P., New Orleans, Louisiana. For Respondent: George Denegre, Jr., Esq. of the law firm of Liskow & Lewis, New Orleans, Louisiana. CASE INFORMATION Statement of Claim filed on: Ma

MAY, 12.2005 12:07PM NASD REGULATIONS NO, 405 P. 2/7 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Salomon Smith Barney, Inc. 98-00977 Name_Qf.Respondent John C, Heringer REPRESENTATION For Claimant Salomon Smith Barney, Inc. ("Smith Barney"); John E. Pruniski; III, Esq. of Hilburn, Calhoon, Harper, Pruniski & Calhoun, Ltd.; North Little Rock, Arkansas. For Respondent John C. Heringer ("Heringer")

NASD REGULATION, INC. 1 AWARD In the Matter of the Arbitration Between Name of Claimant David Sapers vs. Case No. 98-00971 Name of Respondent Fechtor Detwiler & Company REPRESENTATION For Claimant David Sapers ("Claimant") appeared Howard A. Brick, Esq., of the law firm of Donoghue, Barrett & Singal, P.C., located in Boston, Massachusetts, For Respondent Fechtor Detwiler & Company ("Respondent") appeared David C. Boch, Esq., of t

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00969 George E. Zambie & Lori A. Zambie, claimants vs. Roy Johnson and E*Trade Securities, Inc., respondents. ATTORNEYS: Claimants appeared Pro Se, New Philadelphia, OH. Respondents appeared through Thomas Delaney, Manager, Compliance Dept., 'E*Trade Securities, Inc., Palo Alto, CA. DATE FILED: March 13, 1998. CASE SUMMARY: Claimant alleged that respon

AWARD NASD Regulation, Inc. CASE; 98-00967 Harriet Goodwin, claimant vs. Stephen Tischler and PaineWebber, Inc, respondents. ATTORNEYS: For claimant appeared Stanford Loveman, Esq., - South Euclid, OH. For respondents appeared Patricia E. Cowart, Esq., - Fort Lauderdale, FL, DATE FILED: 3/13/98 CASE SUMMARY: Claimant alleged misrepresentation, fraud, omission, breach of fiduciary duty, negligence, failure to supervise, violation of NASD business con

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Matthew S. Lawson (Claimant) vs. Natwest Securities (Respondent). Case Number: 98-0965 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Matthew S. Lawson ("Lawson"): Nancy L. Henderson, Esq., Rudnick & Wolfe, Chicago, Illinois. Respondent Natwest Securities Corp. ("Natwest"): Margaret Madden, Esq., Epstein, Beker & Green, New York, New York. CASE INFORMATION

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of tbe Arbitration Between Name of Claimant Cia Amir Name of Respondent Charles Schwab & Co., Inc. Arbitration No. 98-00957 For Claimant: For Respondent: Statement of Claim filed: REPRESENTATION Cia Amir In Pro Per Woodland Hills, California Sean B. Meehan, Esq. Charles Schwab & Co., Inc. San Francisco, California CASE INFORMATION Clai