AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Mark A. Lund. Claimant, v. No. 97-03944 Sterling Foster & Company. Inc.. Adam R. Lieberman. and Christopher Betts. Respondents. REPRESENTATION OF PARTIES Claimant Mark A. Lund ("Claimant") was represented by Richard M. Burnham. Esq., of La Follette-& Sinykin located in Madison. Wisconsin. Respondents Sterling Foster & Company. Inc. ("Ste

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Sarina Kahen-Kashi Hamid Kahen-Kashi Estate of Harold Rothenberg vs. Case No. 97-03935 Name of Respondents Salomon Smith Barney Inc. Jay Dienes REPRESENTATION Claimants Sarina Kahen-Kashi ("Kahen-Kashi"), Hamidi Kahen-Kashi and the Estate of Harold Rothenberg (collectively "Claimants") did not appear at the hearing in the matter. The attorney

u/KJ N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION T INC. CASE: 97-03934 Haseen Akhtar, claimant v. E*Trade Securities, Inc, respondent ATTORNEYS: Claimant appeared pro se - Irving, TX. For respondent appeared Bob Salvador - Palo Alto, CA. DATE FILED: 8/8/97 CASE SUMMARY: Claimant alleged failure to execute trade of common stock. Claim Data Award Data Claim: $10,000.00 . Award: $.00 Interest: Req

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Ruth Fischer Lazar v. Name of Respondent William B. Garland Toluca Pacific Securities Corp. Brookstreet Securities, Inc. Arbitration No. 97-03933 For Claimant; For Respondents William B. Garland and Brookstreet Securities, Inc. Statement of Claim filed: REPRESENTATION Jeff Dennis Ferentz, Esq. Gr

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02153 Thomas E. Blancodine, Claimant vs. Michael Walsh, Respondent. ATTORNEYS: Claimant, Thomas E. Blancodine, ("Claimant"), appeared Pro Se, Potomac, MD. Respondent, Michael Walsh, ("Respondent"), appeared through his counsel Harry M. Walsh, Jr., Esq., Easton, MD. DATE FILED: May 23, 2000. CASE SUMMARY: Claimant alleged that in June 1994 he made a $15,000.00 business loan to R

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Roger H. Erickson v. Arbitration No. 97-03932 Name of Respondent A. S. Goldmen & Co., Inc., Anthony Marchiano, Stuart Winkler, V. Charles Carraciolo, and Patrick McGlashan REPRESENTATION For Claimant: Howard M. Hoffman, Esq. Law Offices of Howard M. Hoffman Sacramento, California For Respondents: A. S. Goldmen & Co., Inc., Glenn

DEC-22-93 13.49 FROM•NASD REGULATION INC. ID, PACE 9X15 Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Larry Eitel, Claimant v r Station Oakmont, Inc., Daniel M. Porush, Steven P. Sanders, Jordan Shama, Thomas Langer, Scott Wattenburg, Scoit Forman, and Adam Fricdland, Respondents. Case Number 97-03931 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Matthew R. Rutherford, Esq. Law Office of

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimants Deidre Hall and Panache Defined Benefit Pension Pian v. Arbitration No. 97-03928 Name of Respondents Bear Stearns & Co. and Peter J. Eichler Jr., REPRESENTATION For Claimants: W. Glen Cornell, Esq. Brooks P. Marshall, Esq. Thelen Reid & Priest LLP Los Angeles, California For Respondents: John R. Loftus, Esq. Lauren N. Schwakc, Esq. Kees

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Jules Wachter Florine Wachter 97-03920 Name of Respondents Jonathan Winston Steven Cohen Jason Cohen First United Equities Corporation REPRESENTATION For Claimants Jules Wachter and Florine Wachter ("Claimants") appeared Judd Burstein, Esq. a sole practitioner with offices located in New York, New York. Respondent Jonathan Winston ("Winston

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03919 Access Financial Group, Inc., claimant vs. Jay Aaron Steele, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Chicago, IL. Respondent appeared Pro Se, New York, NY. DATE FILED: August 7, 1997. CASE SUMMARY: Claimant alleged that respondent failed to pay for registrations, defaulted on the Promissory Note, and defaulted on the terms and