N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04485 June H. Robertson and Susan T. Host, claimants vs. Fisco Equity, Inc., Larry G. Pauley, Steven Davis and Kevin Handley, respondents. ATTORNEYS: Claimants appeared Pro Se, Foxborough, MA. Respondents appeared Pro Se ; through their Chief Executive Officer. Larry Pauley. Lincoln. BI. DATE FILED: September II, 1997. CASE SUMMARY: Claimant allege

N.A.S.D. REGULATION, INC. AWARD CASE: 97 - 04484 OH Financial Partners, Ltd. and Sherry Hunt, claimants vs. E* Trade Securities, Rodney Carr, Eric Tate and Mr. Ramak, respondents. ATTORNEYS: Claimants appeared Pro Se. - South Jordan, UT. For respondents appeared Tamiko Moore - Palo Alto, CA. DATE FILED: 9/11/97 CASE SUMMARY: Claimant alleged negligence in handling trade orders requested on account and in closing out an account as requested. Clai

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04483 John D. Ferguson and Marlene K. Ferguson, claimants vs. Ed Lawrence, respondent. ATTORNEYS: Claimant appeared Pro Se, Marquette, NE. Respondent failed to respond to the Statement of Claim. DATE FILED: September 11, 1997. CASE SUMMARY: Claimant alleged that respondents engaged in unauthorized trades after being notified that the account was being move

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ken and Dorothy Cunningham, (Claimants) vs. The Harriman Group, Scott Follett and Tom Fede, (Respondents). Case Number: 97-04482 Hearing Site: Oklahoma City, Oklahoma REPRESENTATION OF PARTIES Claimants, Ken and Dorothy Cunningham ("Cunningham"), hereinafter collectively referred to as "Claimants": Anthony Sutton, Esq., Herrold, Herrold, Sutton & Davis, Tulsa, Oklahoma until at le

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Rauscher Pierce Refsnes, Inc. and Interra Clearing Services, Inc. n/k/a Dain Rauscher Incorporated and 97-04477 Name of Respondent Grilse Limited REPRESENTATION OF PARTIES Rauscher Pierce Refsnes. Inc. and Interra Clearing Services. Inc. n/k/a Dain Rauscher Incorporated ("Claimant") was represented by David M. Fogel, Esq., Dain Rauscher Incorporated, Minneapoli

AWARD i i NASD REGULATION. INC., In the matter of the Arbitration Between Name of Claimant(s) Everen Securities, Inc. v. Arbitration No. 97_04475 Name of Respondent(s) Larry Schneider REPRESENTATION For Claimant: Michael A. Kraft, Esq. Gomberg Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Steven E. Paganetti, Esq. Wild, Carter &Tipton Fresno, California CASE INFORMATION Statement of Claim filed: September

9 r AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Charles Stephen Jackson NASD CASE NO. 97-04462 Names of Respondents First Cambridge Securities Corp., Robert Mandry and Mark Savage REPRESENTATION Claimant Charles Stephen Jackson appeared pro se. Respondent First Cambridge Securities Corp. ("FCS") did not make an appearance in this matter. Respondent Robert Mandry ("Mandry") appeared pro se

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James P. Pace and Grace M. Pace (Claimants) v. Sanford Roberts, Inc., Christine Rosier, Sean Martin, Bryant Robertson, Brent Atwood, Robert Cherin, and Nelson Perry (Respondents) Case Number: 97-04460 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants James P. Pace ("J. Pace") and Grace M. Pa

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant(s) Don J. Mescher Arbitration No. 97-04453 Name of Respondent(s Duke & Company, Inc. Victor M. Wang Gregg A. Thaler Karl Roberts David Higgins REPRESENTATION For Claimant: Steven B. Caruso, Esq., Maddox Koeller Hargett & Caruso, New York, New York For Respondent Duke & Company, Inc.: William Rotholz, Duke & Company, Inc., New York, N

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Adrian J. Beach, Arthur Russell, and Calvin Horton, Claimants, and Case Number: 97-04447 Metropolitan Life Insurance Company, and Dock Reed, Respondents. REPRESENTATION OF PARTIES Claimants Adrian J. Beach ("Beach"), Arthur Russell ("Russell"), and Calvin Horton ("Horton") (collectively referred to as "Claimants") were represented by Nichola