AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Cynthia E. Gilcrest v. Name of Respondent Kirkpatrick, Pettis, Smith, Polian, Inc., ("Kirkpatrick, Pettis") and Kent A. Barghols Arbitration No. 97-05474 For Claimants: REPRESENTATION A. Kendall Wood, Esq. Hinchy, Witte, Wood, Anderson & Hodges San Diego, California For Respondents: James M. Bausch, Esq. CHne, Williams, Wrigh

NASD REGULATION, INC. AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Robert C. Kramer v. Arbitration No. 97-05470 Name of Respondents Hanmi Securities, Inc. Kwang Ho "Keith" Kim REPRESENTATION For Claimant: David Liebrader, Esq. Attorney at Law Newport Beach, California For Respondent Hanmi Securities, Inc.: Mr. Mitchell W. Roth, Esq. Attorney at Law Los

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Everen Securities, Inc. and Case No. 97-05469 Name of Respondent Antonio Trujillo REPRESENTATION OF PARTIES Claimant Everen Securities, Inc. was representedby Jack Ballard, Esq. of Ogden, Gibson, White & Broocks, LLP, located Houston, Texas. Respondent, Antonio Trujillo appeared pro se. CASE INFORMATION • The Statement of Claim was filed on or about

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Thomas Petruzelli Case No. 00-02359 Hearing Site: Tampa, Florida Names of Respondents J. B. Hanauer & Co. Vincent Cestone, II REPRESENTATION OF PARTIES For Thomas Petruzelli ("Petruzelli"), hereinafter referred to as "Claimant": Christopher T. Vernon, Esq. and C. Richard Mancini, Esq., Treiser, Lieberfarb, Collins & Vernon, CHTD., Naples, Fl

Award NASD in me Matter 01 tne Aroitration Between: Name of the Claimant Case Number: IXJ-Q0260 Shirt Factory & Sporting Goods, Inc. Name of the Respondent Hearing Site... Boca Raton, Florida Mark McLain Robert DiMarco REPRESENTATION OF PARTIES For Shirt Factory & Sporting Goods, Inc. ("SFSG") hereinafter referred to as "Claimant": Howard A. Tescher, Esq., Kipnis Tescher Lippman & Valinksy, Foil LauderdaJe, Florida For Respondent Mark McLain

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05468 Robert M. Segil, claimant vs. Howard Weinstein and First United Equities Corp., respondents. ATTORNEYS: Claimant appeared Pro Se, Evanston, IL. Respondents did not respond to the Statement of Claim. DATE FILED: November 19, 1997. CASE SUMMARY: Claimant alleged that respondents used misleading, deceptive and high- pressured sales practices to coerce h

AWARD NASD Regulation Inc. In the Matter of the Arbitration Between First Montauk Securities Corp., Claimant, and Counter-Respondent, v. No. 97-05465 Kevin Lee Otto, Respondent, Counter-Claimant, and Third-Party Claimant, v. Schroder & Co., Inc., Third-Party Respondent. REPRESENTATION OF PARTIES Claimant and Counter-Respondent First Montauk Securities Corp. ("First Montauk") and Third- Party Respondent Schroder & Co.. Inc

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant _ Bemadette Koch Case Number and 97-05463 Name of Respondent James Trudden REPRESENTATION OF PARTIES Bernadette Koch ("Claimant") appeared pro se. For James Trudden ("Respondent") appeared Hope Johnson, of A.G. Edwards & Sons, Inc., located in St. Louis Missouri. CASE INFORMATION Claimant filed the Statement of Claim on November 18,1997. Cla

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Peter Lontai, M,D. 97-05462 Name of Respondent Bear Stearns Securities Coip. REPRESENTATION Claimant Peter Lontai, M.D. ("Claimant") appeared pro se. For Respondent Bear Stearns Securities Corp. ("Respondent") appeared Daniel Taub, Esq., in- house counsel for Bear Stearns Securities Corp, located in New York, New York. CASE INFORMATION Claimant's St

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Thomas J. Kean vs. Case No. 97-05460 Name of Respondents Investors Associates, Inc. Worthington Capital Group, Inc. REPRESENTATION Claimant Thomas J. Kean ("Claimant") appeared pro se. Respondent Investors Associates, Inc. ("Investors Associates") did not enter an appearance in this matter. Respondent Worthington Capital Group, Inc. ("Worthingto