Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07605 Faye Hurwich, Individually and as Trustee of the benefit of the Fay Hurwich Revocable Trust, under Declaration of Trust dated Novembers, 1991 Names of Respondents Hearing Site: Boca Raton, Florida Robert Keith Berger Jonathan Roberts Financial Group, Inc. f/k/a Alliance Capital Management, Inc. Southern Capital Securities, I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-07417 Loretta K. Davolos Tricia E. Davolos Names of the Respondents Hearing Site: Orlando, FL Park Financial Group, Inc. Ty Evans Gordon Cantley National Clearing Corporation Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Loretta K. Davolos and Tricia E. Davolos, hereinafter c

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Susanne K. Fellinger 95-04162 Name of Respondent DG European Securities Corporation REPRESENTATION For Claimant, Susanne K. Fellinger, appeared David E. Potter, Esq., of the law firm of Lazare, Potter & Giacovas located in New York City, New York. For Respondent, DG European Securities Corporation, appeared Deidre F. Curtis, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Gregory Plotkin Name of Respondents Biltmore Securities, Inc., Howard Gostfrand and Paul L. Burton REPRESENTATION For Claimant: Deborah Klar, Esq. Miller & Holguin Los Angeles, California For Respondents: Peri Erlanger Bernstein & Wasserman New York, New York CASE INFORMATION Statement of Claim filed: Augu

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 95-04062 Name of Respondent Joseph D. Preziosi REPRESENTATION For Claimant, PaineWebber ("PW"): Melanie S. Cherdack, Esq., Coiporate counsel, Fort Lauderdale, Florida. For Respondent, Joseph D. Preziosi ("Preziosi"): Howard A. Tescher, Esq. of Kipnis Tescher Lippman Valinsky & Kain, Fort Lauderd

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Olde Discount Corporation and NASD Case Number. 95-04055 Name of Respondent The Huntington Investment Company REPRESENTATION OF PARTIES Claimant Olde Discount Corporation ("Claimant" or "Olde") was represented by Francis R. Ortiz, Esq. of Dickinson, Wright, Moon, Van Dusen & Freeman located in Detroit, Michigan. Respondent Th

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: David and Elizabeth Ma, ("Claimants") vs. Ladenburg, Thalmann & Co., Inc. and Ted Shen, ("Respondents") Case Number: 99-02876 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants David and Elizabeth Ma, hereinafter collectively referred to as "Claimants": Marc Bogatin, Esq., a sole practitioner, New York, NY. Respondents Ladenburg, Thalmann & Co., Inc. ("Ladenburg Thalma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert E. Lawlor 95-03962 Name of Respondents Nick Giandomenico John Oehl CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 17, 1995, Claimant Robert E. Lawlor ("Claimant"), through his representative, John K. Lawlor, Esq., of Fort Lauderdale, Florida, alleged that he held acc

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Names of Claimants Ray Cloer, Lu-Ray Petroleum, Incorporated and Cloer Equipment Company and 95-03716 Names of Respondents Merrill Lynch, Pierce Fenner & Smith, Incorporated, Charles Mugg and Timothy Patterson REPRESENTATION OF PARTIES Ray Cloer, Lu-Ray Petroleum, Inc. and Cloer Equipment Co. ("Claimants") were represented by Jan

NASD Arbitration NO. 95-03574 N.A.S.D. AWARD NATIQflTAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Henry E. Lawrence Name of Respondent (s) E*Trade Securities, Inc. REPRESENTATION For Claimant: Henry E. Lawrence, Menlo Park, California For Respondent: David M. Greenberg, Esq., San Francisco, California CASE INFORMATION Statement of Claim filed: July 20, 1995 Claimant's