N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Burton M. Pike, as Trustee of his IRA Account 94-03138 Name of Respondents David Magun J.B.Hanauer & Co. REPRESENTATION For Claimant, Burton M. Pike, Russell L. Forkey, Esq. of Fort Lauderdale, Fl. For Respondent, David Magun ("Magun"), R. Lawrence Bonner, Esq. of Greer, Homer and Bonner, P.A., Miami, Fl. For Respondent

99OS08O AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Nancy M. Raymond Revocable Trust 98-02970 Names of Respondents Prudential Securities Incorporated John Egan REPRESENTATION For Claimant: Albert A. Rapoport, Esq., Boca Raton, FL. For Respondents Prudential Securities Incorporated ("Prudential") and John Egan ("Egan"): David D. Hartung, Esq. of Prudential Securities Incorporated Law Departmen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert P. Sauer, III 94-02853 Name of Respondents Comprehensive Capital Corp. Tim Ciraulo REPRESENTATION For Claimant, Robert P. Sauer, ffl ("Sauer"): Howard A. Tescher, Esq. of Kipnis, Tescher, Lippman, Valinsky & Kain in Fort Lauderdale, FL. For Respondents, Comprehensive Capital Corp. ("CCC") and Tim Ciraulo ("Ci

N.A.S.D. AWARD ASSoaxncN OP SBOORITIES DEALERS In tbe Hatter of the Arbitration Between Mary v. Roberta Marlon Bleafcley Bfergaret Petrie Mercedes Parrino 91-00255 Same of Respondent (a) John T. MaCue First Investors Goxporatioa Fbr Claimants: Sanuel F. Abema(±y, Esq. of M"gmV«"- & Herrmann in New York City. Fbr Respondents: Glenn R. Reichardt, Esq. of Ktrkpatzick & Lockhart in Washington, D.C. Statement of Claim filed: Janua

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03265 PMMI Pension Trust U/A DTD 7-5-84 Robert S. Neumann, claimant vs. Lutheran Brotherhood Securities Corp., respondent. ATTORNEYS: For claimant PMMI Pension Trust U/A DTD 7-5-84 Robert S. Neumann appeared Kevin L. Hagen Esq., of the firm, Hagen & Hagen, P.A., Hollywood, FL For Respondent Lutheran Brotherhood Securities Corp., appeared in-house counsel, Peter E. Shifsky, Esq., Mi

NATIONAL ASSOCIATION OF SECURITIES DEALER'. In the Matter of the Arbitration Between Or. Stanley Wieczorek Claimant vs. Michel in and Company, Inc. J.W. Gant and Associates, Inc. & John Pearce Respondents Case #88-01709 Award CASE SUMMARY Claimant alleged that Respondent John Pearce mishandled the Claimant's account at Michelin and Company, Inc. by trading in speculative, risky over- the-counter securities that were contrary to t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) William R. and Suzanne La Velle 92-02451 Name of Respondent(s) Prudential Securities Inc Gary Zahn John Palmer REPRESENTATION For Claimants: Susan N. Perkins, Esq. For Respondents Prudential Securities, Inc. and John Palmer: Howard Wilson, Esq. of Rosenman & Colin. The Respondent Gary Zahn did not attend the hear

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George Gray Casc# vs. 92-02441 Name of Respondents Sbearson Lehman Brothers, Inc. Mark Adams For Claimant: Stephen M. Salon, Esq., of Salon & Danis, P.C. For Respondents: William A. Hohauser, Esq., of Shearson Lehman Brothers, Inc. CASE INFORMATION Statement of Claim filed: July 22, 1992. Claimant's Submission Agree

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name- of Claimam(s) Steven L. Candeto Case No. 92-02434 of Resoondentf s) Charles Schwab & Company, Inc. Claimant, Steven Candeto was pm sfi. For Respondent, Charles Schwab & Co. Inc. ("Schwab"): Neil Baritz, Esq. of Boose, Casey, Ciklin, et. al. CASE INFORMATION Statement of Claim filed on: July 23, 1992. Claimant's Submission Agreement si

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Xuan T. Le Hanh B. Hoang NASD Arbitration No. 92-02426 Name of Respondent(s) Kennedy, Cabot & Co., Inc. REPRESENTATION For Claimants: Xuan T. Le, Huntington Beach, California For Respondent: George H. Kupper, Esq., Kennedy, Cabot & Co., Inc., Beverly Hills, California CASE INFORMATION Statement of Claim filed