N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OUSECURITIEQEALERS REGULATION. INC. CASE: 97-04257 Harry P. Haldt, HI, claimant vs. Richard J. Eaton, First Cambridge Securities Corp,, and Bear Steams Securities Corp., respondents. ATTORNEYS: Claimant appeared Pro Se, Brewster, NY. Respondent Richard Eaton appeared Pro Se, West Chester, PA. Respondent First Cambridge Securities Corp., did not respond to the Statement of Claim. For Respondent Bear Stea

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02188 Joe Lowich, claimant vs. PaineWebber Incorporated and David I. Blumberger, respondents. ATTORNEYS: Claimant appeared Pro Se., South Amboy, NJ. For Respondents appeared in-house counsel Sandra D. Grannum, Weehawken, NJ. DATE FILED: May 25, 2000 CASE SUMMARY: Claimant alleged that respondents failed to properly advise him of the risks involved in maintaining a margin account. C

N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Arthur M. Olson 97-04253 Name of Respondents Oppenheimer & Co., Inc.; and Ken Cecil REPRESENTATION For Claimant: Arthur M. Olson (''Olson") was represented by Robin J. Omahana, Esq., located in Chicago, Illinois. For Respondents: Oppenheimer & Co., Inc. ("Oppenheimer") and Ken Cecil (''Cecil") w

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Tony Jimenez v. Name of Respondent Merrill, Lynch, Pierce, Fenner & Smith, Inc. and Jim Gallegos Arbitration No. 97-04247 REPRESENTATION For Claimant: For Respondent: Joseph Peter Myers, Esq. The Law Offices of Joseph Peter Myers Riverside, California Robert B. Ericson, Esq. Keesal. Young & Logan

NflSD REGULflTION FL p N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Nabil Gerges and Sanaa Gerges 97-04246 Names of Respondents GKN Securities Corp. and Martin Pike REPRESENTATION For Claimants; Stephen Murphy, Esq. of the law firm of Pino & Dicks, Longwood, Florida, For Respondents; Neil Baritz, Esq., Boca Raton, Florida. CASEINFORMATION Stateme

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Norman and Gloria Trainer 97-04240 Name of Respondents David Lerner Associates George F. Crowley, III REPRESENTATION For Claimants Norman and Gloria Trainer ("Claimants") appeared Kevin P. Conway, Esq., of the law offices of Conway & Conway located in New York, New York. For Respondent David Lerner Associates ("DLA") appeared Ruthann G. Niosi, Esq., a

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Mohamed Bin Eshaq 97-04239 Name of Respondents Okasan International (America), Inc. Okasah International (Middle East) E.G. REPRESENTATION For Claimant Mohamed Bin Eshaq ("Claimant") appeared Kevin P. Conway, Esq., of the law office of Conway & Conway located in New York, New York. For Respondents Okasan International (America), Inc. ("OIA") and Okasan

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant David A. Sutton Case Number and 97-4236 Name of Respondents The Boston Group, L.P. Michael S. Bertel Robert A. Diminico Scott Lee Mathis REPRESENTATION OF PARTIES For David A. Sutton ("Claimant") appeared Ira N. Glauber, Esq., of the law firm Jaffe & Asher, located in New York, New York. For The Boston Group, L.P. ("Boston Group") appeared E

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04235 Malcolm L. & Elizabeth Coffee, claimants vs. Paul Schafranick & State Street Capital Markets Corp., respondents. ATTORNEYS: Claimants appeared Pro Se. - Carrollton, TX. Respondent Paul Schafranick appeared Pro Se. - New York, NY. Respondent State Street Capitol did not respond. DATE FILED: 8/28/97 CASE SUMMARY: Claimant alleged misrepresentation,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04234 Chun-Cliieh Tseng and Chin-Te Tseng, claimants vs. Pacific Brokerage Services, Inc., respondent. ATTORNEYS: For Claimants appeared Charles Krieg - New York, NY. For Respondent appeared James R. Kruger - Beverly Hills, DATE FILED: 8/28/97 CASE SUMMARY: Claimants alleged failure to follow instructions in the sale of common stock. Claim Data Awa