Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Claimant Alexander B. McMurtrie, III Case No. 00-01911 Jefferson Pilot Securities Corp. Paul G. Romweber John E. Longmire W. Thomas Boulter Hearing .Site: Richmond, VA ° PARTTF-S Claimant, Alexander B. McMurtrie, III, hereinafter referred to as "Claimant": Mark J. Krudys, Esq., Attorney at Law, Richmond, VA. Respondents, Jefferson Pilot Securities Corpor

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Diane Falkenberg Harold Falkenberg Case No. 97-01648 Name of Respondents Westfield Financial Corp. Salvatore J. Mazzeo George Carhart James E. Cohen Edward McCrann CIBC Oppenheimer & Co. REPRESENTATION For Claimants Diane Falkenberg and Harold Falkenberg ("Claimants") appeared John E. Lawlor, Esq., with law offices located in Mineol

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES PEATJCRg REGULATION. INC. CASE: 97-01643 Rastislav Palacka, claimant v. William Scott & Co. LLC, respondent. ATTORNEYS: For Claimant Claimant appeared pro se - South Boston, MA. Respondent did not appear. DATE FILED: 4/1/97 CASE SUMMARY: Claimant alleged unauthorized trading of stock. Claim Data Award Data Claim: $1,514.50 Award: $1,514,50 Punitive: $.00 Punitive: $.00 Atty

N.A.S.D. REGULATION, INC. AWARD CASE: 97 - 01642 HJ. Meyers & Company, Inc., claimant vs. Raquel S. Tanzman and Sheldon T. Schreiber, respondents. ATTORNEYS: For claimant appeared Paul J. Delmore, Esq., - San Diego, CA, Respondents appeared Pro Se. - Calabasas, CA. DATE FILED: 4/1/97 CASE SUMMARY: Claimant alleged breach of contract and account debit balance. Claim Data Award Data Claim: $3,170.00 Award: $3,170.00 Interest: Requested Interes

AWARD NASD Regulation, Inc* Arbitration No. 97-01641 In the matter of the Arbitration Between Name of Claimantfsi John T. Stevens Name of Respondentfs) Henry R. Fisher Greg R. Stuart G.R* Stuart & Co., Inc. Trafalgar Financial Services, Inc. REPRESENTATION For Claimant: Vincent O'Gara, Esq., Evans, Latham, Harris & Campisi, San Francisco, California For Respondent Henry R. Fisher: Henry R. Fisher, Stinson Beach, Californi

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Larry L. Jackson and Lana G. Jackson and 97-01636 Name of Respondent Sterling Foster & Co., Inc. Gil Posculli Larry Salice REPRESENTATION OF PARTIES Larry L. Jackson and Lana G. Jackson ("Claimants") were represented by Robert L. Nefsky, Esq., Rembolt Ludtke & Berger, Lincoln, Nebraska. Sterling Foster & Co., Inc. ("Resp

NASD REGULATION. INC. In the matter of the Arbitration Between Name nf Claimant (si David M. Lopez and Kimberly R. Lopez Arbitration No. 97-01635 Name ojE Respondent (3) Dean Witter Reynolds Inc. and Edward Schadek REPRESENTATION For Claimants: William M. Bankston, Esq., Bankston & McCollum, P.C,, Anchorage, Alaska For Respondents: Timm A. VerDuin, Esq., Dean Witter Reynolds Inc., San Francisco, California CASE INFORMATION

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIKSJMi^J^ __ CASE: 97-01624 Jye-Shern & Rowena Cheng, JT TEN. claimanis v. Investors Associates. Inc. Michael DiFrancesca. William Cutrone, Robert Con forte and Herman Epstein, respondents. ATTORNEYS: Claimants appeared pro se - Fremont. CA. For respondents Investors Associates and Herman Epstein appeared Lawrence R. Gelhcr. Esq. - Hackensack, NJ. For respondent Michael Difrancesca appeared Do

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Thomas P. Schroeder Edna C Williams v. Arbitration No. 97-01622 Name of Respondent Bill Scuteri Sterling Foster & Co., Inc. Sterling Foster Investment Bankers REPRESENTATION For Claimants: Bradley V. Black, Esq. Wu& Black, LLP Irvine, California For Respondents Sterling Foster & Co., Inc. and Sterling Fo

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01613 Sam Inamorato, claimant v. Michael Petrokansky and Americorp Securities, Inc., respondents. ATTORNEYS: Claimant appeared pro se - Springfield, NJ. Respondent Michael Petrokansky appeared pro se - New York, NY. For respondent Americorp Securities, Inc. - New York, NY. DATEHLED: 3/31/97 CASE SUMMARY: Claimant alleged failure to execute and negligence i