N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-02437 Thomas Kellchcr. claimant vs. Edgar Alacun and J.W. Barclay & Co. Inc.. respondents. ATTORNEYS: Claimant appeared Pro Se. Brooklyn, NY. For Respondents appeared Brian H. Reis. Esq., of" the firm Goldstein, Goldstein & Reis, LLP. New York, NY. DATE FILED: May 12. 1997. CASE SUMMARY: Claimant alleged that respondents refused to sell his stock or to giv

HASP REGOIATIQM. IMC. In the matter of the Arbitration Between Name of Claimant fa) Arntz Family Trust Arbitration No. 97-02436 Name of Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc Mikhail Dorfman REPRESENTATION For Claimant: Neil J. Arntz, Seattle, Washington For Respondents: Arthur H. Sobel, Esq., Merrill Lynch, Pierce, Fenner & Smith, Inc., New York, New York CASE INFORMATION Statement of Claim filed on or about: M

ARBITRATION AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between N a m e o ' C I a i m a C, Michael Egart; Automatic Equipment Co., Inc. Name of Respondent Fred Plan REPRESENTATION For Claimants: G. Michael Egart ("Egart"} and Automatic Equipment Co., Inc. ("AEC") were represented by Thomas A. Guaza, Esq, of Blau & Bonavich, located in Chicago, Illinois For Respondent: Fred Plan ("Plan") did not

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Pearl Lyons Irrevocable Grat Trust, (Claimant) vs. Kirlin Securities, Inc. and Robert Lehrman, (Respondents) Case Number: 00-01994 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Pearl Lyons Irrevocable Grat Trust, hereinafter referred to as "Claimant": Joan M. Markey, Esq., a sole practitioner, New York, NY. Respondents Kiriin Securities, Inc. ("Kirlin

JflN.10.1999 i:i3PM NASD BOCfi NO.600 P. IS AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Janet M. Dunan, Individually and as surviving spouse of George V,R, Dunan, and as Trustee of the Janet M, Dunan Revocable Living Trust dated 6/23/95, and as Successor Trustee of the George V.R, Dunan Revocable Living Trust dated 6/23/95, Ann E. Dunan, Michael P. Dunan and Roy E. Dunan Names of Re

Award NASD Dispute RcsoLution In the Matter of the Arbitration Between: D. Richard Tonge Estate of Leslie Tonge LT Investments, Inc. All-Tech Investment Group, Inc. Richard Kessler PAQP Nnmhf^r: 99-03665 Hpnring .Site- Philadelphia, Pennsylvania HFPRF>;FXTATTON OF PARTTFS Claimants D. Richard Tonge ("Tonge"), Estate of Leslie Tonge ("Estate"), and LT Investments, Inc. ("LTI")* hereinafter referred to as ("Claimants"), were represented b

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Thomas E. Wood, Claimant, v. No. 97-02430 First United Equities Corporation, Respondent. REPRESENTATION OF PARTIES Claimant Thomas E. Wood ("Claimant") was represented by Thomas M. Wardrop, Esq. of Wardrop & Wardfop, P.C. located in Grand Rapids, Michigan. Respondent First United Equities Corporation (^Respondent") did not appear at the hearing

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02427 Alan Weeks, claimant vs. La Croix Alexander Financial Corp. and Tim Garson, respondents. ATTORNEYS: Claimant appeared Pro Se. - Palm Desert, CA. Respondents did not appear. DATE FILED: 5/13/97 CASE SUMMARY: Claimant alleged breach of fiduciary duty, failure to conduct due diligence and conflict of interest. Claim Data Award Data Claim: $5,000

NASD REGULATION. INC. AWARD In the Matter of the Arbitration Between Name of Claimant Nicos Apostolou 97-02425 Name of Respondents Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation Niall Lambert REPRESENTATION For Claimant Nicos Apostolou ("Apostolou") appeared Ralph A. Gant, Esq., a sole practitioner with offices located in New York, New York. For Respondent Pershing Division of Donaldson, Lufkin & Jenrette Se

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02423" Walter and Sharon Federline, claimants v. Robert Keon, respondents. ATTORNEYS: Claimants appeared pro se - Frederick, MD. Respondent did not appear. DATE FILED: 5/13/97 CASE SUMMARY: Claimant alleged misrepresentation and lack of suitability in the trading of common stock. Claim Data Award Data Claim: $7,026.50 Award: $.00 Punitive: $.00