Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sarah M. Hall (Claimant) vs. Avalon Investment & Securities Group, Inc. (Respondent) Case Number: 05-06598 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Sarah M. Hall hereinafter referred to as "Claimant": Sid M. Miller, Esq., Miller & Goldman, Hamden, CT. Respondent Avalon Investment & Securities Group, Inc. he

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bernie Glannon and 05-06246 Kansas City, Missouri Name of Respondent Piper Jaffray & Co. f/k/a U.S. Bancorp Piper Jaffray Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Bernie Glannon ("Claimant") was represented by Michael E. Waldeck, Esq., Waldeck, Matteuzzi & Sloan, P.C., Leawood, Kansas. Piper Jaffray & Co. f/k/a U.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05706 Gladys Schwab Names of the Respondents Hearing Site: Tampa, Florida A.G. Edwards & Sons, Inc. Raymond James Financial Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gladys Schwab, hereinafter referred to as "Claimant": Nicholas J. Taldone, Esq., Law Office of Nicholas J. Taldone, Esq., C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05224 Shelly S. Gars Names of the Respondents Hearing Site: Tampa, Florida FFP Securities, Inc. Earl Morton Slosberg Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Shelly S. Gars, hereinafter referred to as "Claimant": Richard R. Logsdon, Esq., Richard R. Logsdon, P.A., Clearwater, Flor

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-3024 Charles Schwab & Co., Inc., claimant vs. Ota F. Cernoch, respondent. ATTORNEYS: For Claimant Charles Schwab & Co., Inc. ("Claimant"), Diane C. Fischer, Esq., of Gomberg, Kane & Fischer, Ltd. Chicago, IL. Respondent Ota F. Cernoch ("Respondent"), did not respond to the Statement of Claim. DATE FILED: July 7, 1999 CASE SUMMARY: Claimant alleged that Res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maria L. Minguez (Claimant) v. Aristides Bantis (Respondent) Case Number: 05-03767 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Customer REPRESENTATION OF PARTIES Claimant Maria L. Minguez hereinafter referred to as "Claimant": David M. Kasell, Esq., The Roth Law Firm, PLLC, New York, NY. Respondent Aristides Bantis hereinafter referred to as "Res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf th,p Claimant Case Number: 05-02458 Willie Mae Deas, individually, and as custodian of her IRA of the Respondents Hearing-Site: Atlanta, Georgia Oppenheimer & Co., Inc., f/k/a Fahnestock & Co., Inc., f/k/a Josephthal & Co., Inc. and Eric Cofer Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATIO OF For Willie Mae Deas, individually,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark N. Binder, Claimant v. Goldman Sachs & Co., Respondent Case Number: 05-02403 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: For Respondent: CASE INFORMATION Rodney J. Heggy, Esq. Federman & Sherwood Oklahoma City, Oklahoma Tod I. Zuckerman, Esq. Attorney At Law San

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mason Nicoll, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 05-02033 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Lawrence L. Klayman, Esq. Klayman & Toskes, P.A. Boca Raton, Florida For Respondent: Troy P. Sauro, Esq. Bingham McCutchen San Francisco,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George Sardeson, Florence Taylor, Randy Taylor, Joe Conroy, and Minerva Birchard, Claimants v. Morgan Stanley DW Inc., Respondent Case Number: 05-00872 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Paul W. Thomas, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, California For Respondent