N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lauretta Goforth 94-04786 Name of Resoondents A.T. Brod & Co., Inc. David S. Cohen WF.PIlFJSF.T>nrATTnN For claimant Lauretta Goforth ("claimant") appeared Marshall Coleman, Esq., a sole practitioner, located in New York, New York. For respondent David S. Cohen ("Cohen") appeared Linda McCarthy, Esq., of the law;firm of

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ross S. Freedman and Name of Respondent GRO Corporation n/k/a Rushtrade Securities Case Number: 01-04315 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Ross S. Freedman ("Claimant") of Sammamish, Washington appeared pro se. GRO Corporation n/k/a Rushtrade Securities ("Respondent") was represent

N.A.S.D. AWARD.- NATIONAL AS.SOriATrON OF SECURTTTF.S DF.AI.FRS. INC. In the matter of the Arbitration Between Name of Claimant NASD Arbitration Ching Chang (Welson) Lin #94-04785 vs. Name of Respondent National Discount Brokers REPRESENTATTQN For Claimant: Oliver P. Colvin, Esq., Fthenakis & Colvin, Palo Alto, California For Respondent: Seth Rosen, Direaor of Compliance, National Discount Brokers, New York,, New York CASE INFORMATIO

N.A.S.D. AWARD KATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Name of Claimant Michael Feinstein 94-04778 Name of Respondents Technomart RGA Inc. H. Joseph Parnes REPHEBEHTATIOM Claimant Michael Feinstein, DPH ("Claimant") was represented by James P. Ulwick, Esq., Kramon & Graham, Baltimore, MD. Respondents Technomart RGA, Inc. ("Technomart") and H. Joseph Parnes, a.k.a. H. Joseph Ismail ("Parnes"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tiie Ari)itration Between Name of Claimant John E. Waller, Jr. 94-04774 Name of Respondents IDS Financial Services, Inc. Michael Hatch CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc., on Novemtser 11,1994 Claiinant, John E. Waller, Jr., who appeared Pro Se, alleged that Respondents, IDS Financial Services, Inc. ("IDS") and M

N.A.S.D. AWARD NATIONAL ASSOCTATTON OF .SFCURTTTF.S DEALERS. INC. In the m£:ter of the Arbitration Between Name of Clai'mant Prudential Securities Incorporated NASD Arbitration 94-04767 vs. NameofTtgspnnflgnt Derek C. Johnson (aka Clark Derek Charies) REPRESENTATION For Claimant: Patricia A. FitT^atrick, Esq., Prudential Securities Incorporated, New York New York For Respondem: Glen R. Mozingo, Esq., Mozingo & Price, Newport Beach, C

N.A.S.D. AWAiRD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tlie Aibitration Between Narngfff grants Charles Ringel / Carole Ringel A/C/F Scott Lawrence Ringel 94-04765 Name of Respondent Smith Bamey Sheaison, Inc. n/k/a Smith Bamey, Inc. CASEgyMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 10,1994, Claimants Charies Ringel / Carole Ringel A/C/F Scott Lawrence Ringel, who appe

NASD AWARD NATIONAL ASSOCL\TION OF SECURITIES DEALERS, INC. In the Matter of the Aibitration Between Name of Claimant William G.Staltoer ~ and 94-04764 Name nf Respondent Quick & Reilly, Inc. Thomas A. Meany REPRESENTATION OF PARTIES William G. Stattner ("Claimant") appeared pro se. Quick & Reilly, Inc. ("Respondent Quick") and Thomas A. Meany ("Respondent Meany") (collectively as 'Respondents") were represented by Nicholas J. Chopey, Qu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claiinant Thomas M. Flynn 94-04763 Name of Resoondents Gill)ert Ramos Greenway Capital Corp. CASE SimiMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 10,1994, Claimant Thomas M. Flynn ("Claimant"), who appeared Pro Se, alleged that Reqmndents Gilbert Ramos ("Ramos"), and Greenway C2q)ital

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant John Bun- Case No. 01-04313 Name of Respondent Anchor Management Group, Inc. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For John Burr hereinafter referred to as "Claimant": Allan P. Whitehead, Esq. of Frese, Nash & Hansen, P.A., Melbourne, FL. For Respondent Anchor Management Group, Inc. ("Anchor"): Louis J. Spaccio, Jr., President,