NASD RgGTTLATIQM. IMC.. OFFICE OP DIffPPTE RESOLUTION In the matter of the Arbitration Between Name of Claimant^ (g} H.J. Meyers & Co., Inc. Arbitration No. 97-00451 Name of Respondent. (a) Derwin Au PBPRgggKTATTON * For Claimant: Peter W. Olson, Esq., Cades Schutte Fleming & Wright, Honolulu, Hawaii For Respondent: Brad Bliss, Esq., Lyons, Brandt, Cook & Hiramatsu, Honolulu, Hawaii CASK INFORMATION Statement of Claim filed : Jan

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Frank Rodman v. Arbitration No. 97-00447 Name of Respondents Bank of America National Trust & Saving Association, Bank of America Investment Services, and Kevin McGrath REPRESENTATION For Claimant: David E. Wulfsberg, Esq. David E. Wulfsberg, Attorney at Law Long Beach, California For Respondents: John C. Fauvre, Es

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Dale M. Mayol, and Margaret Mayol, Claimants and Counter-Respondents, v. CanteHa& Co., Inc., Respondent and Counter-Claimant, No. 97-00442 v. Michigan Securities & Underwritings, Inc., and David L. Alexa, Respondents. REPRESENTATION OF PARTIES Claimants and Counter-Respondents Dale M. Mayol and Margaret Mayol ("Claimants") were r

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Oscar Grass & Son Inc., (Claimant) vs. E.D. & F. Man International Inc. and Kensington Asset Management Inc., (Respondents) Case Number: 97-00433 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Oscar Gruss & Son Inc., hereinafter referred to as "Claimant": Robert S. Churchill, Esq., Gerstein & Churchill, P.C., New York, NY. Respondent E.D. & F. Ma

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Howard Barten Virginia Gahan Barten Gahan Associates 97-00432 Name of Respondent Brookstreet Securities Corp. REPRESENTATION For Claimants Howard Barten. Virginia Gahan and Barten Gahan Associates ("collectively referred to as "Claimants") appeared Riehard A Zinn. F-sq. with law offices located in Centereach. New York. For Respondent Brookstreei Securiti

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Etoile Placement S.A. Case Number and 97-00431 Name of Respondents Suppes Securities, Inc. Mark Anthony Name of Third-Party Respondent Jonathan Rich REPRESENTATION OF PARTIES For Etoile Placement S.A. ("Claimant") appeared Charles J. Hecht., Esq., of the law firm of Hecht & Steckman, P.C., located in New York, New York. For Suppes Securities

N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-00429 David J. Gallant, claimant v. Steven C. Futoran and Sterling Foster & Company, Inc., respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Rumford, ME. For Respondents appeared Joseph D'elia, Esq. - Huntington, NY. DATE FILED: 1/27/97. CASE SUMMARY: Claimant alleged misrepresentation and high pressure sales tactics in the purchase o

N.A.S.D. REGULATION AWARD NATIONAL ASCIATION OF SECURITIES DEALERS REGULATION. INC. Steve Bierman, claimant vs. Bob Peters, respondent. ATTORNEYS: Claimant appeared Pro Se. - Marcus, IA. For Respondent appeared John Bersin - New York, NY. DATE FILED: 1/27/97 CASE SUMMARY: Claimant alleged failure to execute trade with quantity ordered, unauthorized trading and margin problems. Claim Data Claim: $7,025.00 Punitive: $.00 Atty Fees: $.00

NASD REGULATION, INC. FINAL ORDER In the Matter of the Arbitration Between Name of Claimants Theodore R. Turner, Jr. 97-00421 Name of Respondents Linsco/Private Ledger Corp. REPRESENTATION For Claimant Theodore R. Turner, Jr. ("Claimant") appeared Jonathan Kord Lagemann, Esq. with law offices located in New York, New York. For Respondent Linsco/Private Ledger Corp. appeared Steven N. Fuller, Esq. of the law firm of Peabody & Brown, locat

NASD REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant/Counterrespondent WestAmerica Investment Group, Inc. and 97-00417 Name of Respondent/Counterclaimant Scott Grady and Name ofThird Party Respondents Ed Fouraker, and William Groszkruger REPRESENTATION OF PARTIES WestAmerica Investment Group, Inc. ("WIG"), Ed Fouraker ("Fouraker") and ("Groszkruger")