N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01831 Robert C. Geiss, claimant v. Ceres Securities, Inc., respondent. ATTORNEYS: Claimant appeared pro se - Lake Forest, CA. For respondent appeared Mary K. Fay, Esq. Omaha, NE. DATE FIT .FT): 4/11/97 CASE SUMMARY: Claimant alleged failure to execute sell order of common stock. Claim Data Award Data Claim: $3,642.00 Award: $.00 Interest: $6.63 Int

NASD REGULATION, INC. FINAL ORDER In the Matter of the Arbitration Between Name of Claimant A.S, Goldmen & Company, Inc. 97-01827 Name of Respondent Joseph William Donohue, Jr. REPRESENTATION For Claimant A.S. Goldmen & Company, Inc. ("Claimant") appeared Brian Graifman, Esq., of the law offices of Caro & Graifman, P.C., located in New York, New York. For Respondent Joseph William Donohue, Jr. ("Respondent") appeared Dan Druz, a sole pra

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01823 Edward and Wilma Prspdiger and Edward & Wilma Praediger Trust, claimants v. Raymond James & Associates, Inc. and Angelo Masut respondents. ATTORNEYS: For claimants appeared Steve Murhpy, Esq. - Longwood, FL. For respondents appeared James D. Sallah, Esq. - St. Petersburgh, FL. DATE FILED: 4/10/97 CASE SUMMARY: Claimant alleged violations of the Flori

AWARD NASD REGULATION INC., OFFICE OF DISPUTE RESOLUTION Name of Claimant Deborah Stewart Name of Respondent E*Trade Securities, Inc. Arbitration No. 97-01822 For Claimant: For Respondent: REPRESENTATION Deborah Stewart In Pro Per Adelanto, California Gary H. Loeb. Esq. Bird. Marella. Boxer. Wolpert & Matz Los Angeles, California CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement filed

N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Stanley L. Pawlak 97-01820 Name of Respondents Prudential Securities, Inc. Thomas D. Rees, Jr. REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Law Offices of Paul W. Thomas San Diego, California. For Prudential Securities, Inc.: William M Cassarini. Esq. Prudential Securities, Inc.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Larry Egerton and Eileen Ann Egerton, (Claimants) vs. Ameritrade, Inc., (Respondents) Case Number: 00-01931 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Larry Egerton ("L. Egerton") and Eileen Ann Egerton ("E. Egerton"), hereinafter collectively referred to as "Claimants": Rachell Sirota, Esq., Sirota & Sirota LLP, New York, NY. Respondent, Ameritr

NASD Regulation, Inc., Award In the Matter of Arbitration Between Eula Franklin, Eric Choate, Jerry and Marie Peacher, Cauley and Erlene Bridgets, and Glenn and Nell Harrison, Claimants, and Morgan Keegan & Company, Inc., Respondent. No. 97-01819 REPRESENTATION OF PARTIES Claimants, Eula Franklin ("Franklin,") Eric Choate ("Choate,") Jerry and Marie Peacher ("the Peachers,") Cauley and Erlene Bridgers ("the Bridgers") and Glenn and Nell

AWARD NASD REGULATION. INC.. OFFICK OK DISPl'TK RESOLUTION In ihe matter of the Arbitruiion Between Name of Claimant John B. and Geri S. Schrocdcr Trust v. Arbitration No. 97-01817 Name of Respondents M.L. Stern and Company. Inc. and Frank Perrotti REPRESENTATION For Claimant: Paul Sehroeder. Esq. Atwood. Haimun & Westcrherg Saratoga. California For Respondent: James D. Portman. Esq. M.L. Stem & Co.. Inc. Beverly Hills, C

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATTONjjNC. CASE: 97-01816 Angela C. Lee, claimant vs. ETrade Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Battle Ground, WA. For Respondent appeared its Compliance Analyst, Bob Salvador, Palo Alto, CA. DATE FILED: April 10, 1997. CASE SUMMARY: Claimant alleged that respondent failed to execute an order to sell 2000 shares of Fonar Corp., at a limit of $4

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Joseph Menter, Claimant and Counter-Respondent, v. First Cambridge Securities Corp., fk/a J.J. Morgan & Co.; Marsh Block & Co., Inc.; Kenneth Lloyd Marsh; Elizabeth Ortiz Simone; Carmen Popescu; Gregory Hall; Michelle Antoinette Castelli; Marquis Barnes Quetant; Michael Lee Metier; Alfred Gerald Block; Ben Bernat Stein; CCC Holdings, Inc.; Churchill Capital Corp.; Jeffrey A