AWARD NASD Regulation, Inc. CASE: 98-04137 GKN Securities, Inc. claimant vs. Walter Dolan, respondent. ATTORNEYS: For Claimant GKN Securities, Inc. appeared Katherine Nathan, Director of Litigation, New York, NY. Respondent, Walter Dolan failed to respond to the Statement of Claim. DATE FILED: 11/04/1998 CASE SUMMARY: Claimant alleged respondent did not pay expenses and customer debts that became due upon termination, according to the terms of t

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-03832 Raymond P. Kondler, claimant vs. Andreas Zigouras, respondent. ATTORNEYS: Claimant Raymond P. Kondler ("Claimant") appeared Pro Se., Manasquan, New Jersey. Respondent Andreas Zigouras ("Respondent") appeared Pro Se., New York, New York. DATE FILED: 08/20/1999 CASE SUMMARY: Claimant alleged that between July 9, 1992 and April 30, 1993, Respondent caus

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-04135 GKN Securities Corporation, claimant vs. Scott Slater, respondent. ATTORNEYS: Claimant GKN Securities Corporation, appeared dirough its Director of Litigation, Katherine Nadian, Esq., New York, NY. Respondent, Scott Slater did not respond to the Statement of Claim. DATE FILED: 11/04/98 CASE SUMMARY: Claimant alleged that respondent failed to pay outs

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph G. and Audrey G. Silverberg, as Individuals and as Trustees of Joseph G. and Audrey G. Silverberg Revocable Living Trust, Bob Honore, and David Pearson, Claimants v. Cruttenden Roth, Inc., Walter W. Cruttenden EI, Byron C. Roth, First Security Van Kasper & Company, and Wayne J. Lourenco, Respondents Case Number: 98-04134 Hearing Site: Los Angeles, Califomia REPRESENTATI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03057 Richard Gauzza Name of the Respondent Hearinq Site: Tampa, FL Sterne Agee Financial Services, Inc. a/k/a SAL Financial Services, Inc. Names of the Third Party Respondents Robert Lucci Margaret Rucker Barbara Knox Nature of the Dispute: Customer vs. Member vs. Associated Person. REPRESENTATION OF PARTIES For Richard G

AWARD NASD Regulation, fine. CASE #98-04127 Joan Berger and Cheryl A. Bambuzy, Claimants vs. Elswick, Banks & Associates, Joseph Williams and Brian Banlcs, Respondents. REPRESENTATION: Claimants appeared Pro Se. Respondents did not appear. DATE FILED: November 4, 1998. CASE SUMMARY: Claimant alleged die following: Respondents erroneously purchased Cbiomatic stock for dieii account, on maigin; Respondents later promised to send retraction but

Award NASD Regulation, Inc. In the Matter of the Arbitration Behween: Everen Securities, Inc. n/k/a First Union Securities, Inc. (Claimant) vs. James C. Banda (Respondent) Case Number: 98-04122 " Hearinq Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant Everen Securities, Inc., n/k/a First Union Securities, Inc. ("Everen"): Ronald Kane, Esq., Gomberg, Kane, & Fischer, LTD, Chicago, Illinois. Respondent James C. Banda ("Banda"): Kad E. May, Es

< £> Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Charlotte A. Escobosa, (Claimant) vs. UBOC Investment Services, (Respondent). Case Number: 98-04119 Hearing Site: San Francisco, CaHfomia. REPRESENTATION OF PARTIES Charlotte A. Escobosa hereinafter referred to as "Claimant": Represented herself, pro se. UBOC Investment Services hereinafter referred to as "Respondent": Mark Palmer, UBOC Investment Services, San Francisco, Cali

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Michael Fiertel and Rose Fiertel, Claimants v. Bear Steams & Co., Inc., Salomon Smith Bamey, Inc., and John F. Murphy Respondents. Case Number: 98-04115 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimants: David Liebrader, Esq. The Law Offices of David Liebrader, Inc. Irvine, Califomia For Respondent John F. Miuphy: Did Not Appear CASE INFORMAT

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert K. Coleman, Claimant v. The Golderf, Lender Financial Group, Inc., losif Pak, Roman Sakharovich and Lee M. Solomon, Jr., Respondents. Case Number: 98-04114 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Robert K. Coleman ("Claimant"): Jeffrey D. Clason, Esq., Christensen & Barrus, Inc., First Floor, Suite 140, 7112 N. Fresno Street, Fresno, CA 93720. Re