NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Demetris Rogu Maria Rogu Claimants vs. CASE 189-01337 AWARD Monmouth Investments, Inc. & Timothy J. Milway Respondents CASE SUMMARY Claimants, Demetris and Maria Rogu, allege that Respondents, Timothy J. Milway and Monmouth Investment, Inc., without authorization purchased on March 20th, 1989, 5000 shares of Corporate Capital Resources, Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James E. Washington Claimant(s) vs. 89-01333 Tom Ackerly, Dennis Williams, Mike Burko and Shawn Crane Respondent( NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) James E. Washington alleged that Respondent(s) Tom Ackerly, Dennis Williams, Mike Burko and Shawn Crane were participants in a conspiracy to defraud investors ' and made misr

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INi IN THE MATTER OF THE ARBITRATION BETWEEN SEBASTIAN C. SISTI CLAIMANT AWARD 89-01331 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. RESPONDENT CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 4, 1989, Claimant Sebastian C. Sisti ("Sisti") alleged there was an illegal charge of interest on short sales against the box which had a rippling effect throu

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Max L. Burdick Family InterVivos Trust Revocable Trust NASD Regulation, Inc. v. No. 96-00209 Charles Schwab & Company, Inc. Bear Stearns Securities Corporation Ronald M. Berman Steven Dantus REPRESENTATION OF PARTIES Max L. Burdick Family InterVivos Trust Revocable Trust ("Claimant") was represented by Jay Sheen, Esq., Robinson & Sheen,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Dolores Gootkin NASD Arbitration No. 93-03686 Name of Respondent Andrew Geller REPRESENT ATTON For Claimant: David Liebrader, Esq., Investors Arbitration Services, Inc., Woodland Hills, California For Respondent: Robert H. Logan, Esq., and Lauren S. Forbes, Esq., Keesal, Young & Logan, Long Beach, California.

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between JOHN M. WEAVER. Claimant, v. NASD No. 93-2889 ATLANTA-ONE, INC., Respondent. Representation For Claimant: Jules Federman of Investors Rights Association and Dennis Merenbach. Esq., Santa Barbara, CA For Respondent: Thomas Blodgett, Esq. of Atlanta-One, Inc.. Irvine, CA Case Information Statement of Claim filed: July 16. 1993 Claimant's Submi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE:99-02673 Martin Schmall, claimant vs. Merit Capital Associates, Inc., and Steven Mense, respondents. ATTORNEYS: Claimant appeared Pro Se., Brooklyn, NY For Respondents Merit Capital Associates, Inc., and Steven Mense ("Respondents"), Robert Fitzpatrick, Esq. in-house counsel for Merit Capital Associates, Inc. DATE FILED: June 11, 1999 CASE SUMMARY: Claimant al

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Seymour Schneider 93-02297 Name of Respondents Henry J. Grodzins Stoever, Glass & Co., Inc. REPRESENTATION For Claimant Seymour Schneider ("Claimant"): he appeared pro se. For Respondents Henry J. Grodzins ("Grodzins") and Stoever, Glass & Co., Inc.: Thomas Conniff, Esq. of the law firm of Kusack & Styles. CASE INFORMAT

N.A^Sjp. AWARD N[ATJQNAL ASSOCIATION QF SECTOTTTE5 OSALERg . I^C.__ In the matter of the Arbitration Between Name of Claimant (s) Lea Stalmaster, individually, as Trustee of the Morse-Stalmaster Family Trust and of the Terlea Productions Retirement Trust, and as Custodian of the Lea Stalmaster Special Account, and Terrell Clark Morse, individually, and as Trustee of the Morse- Stalmaster Family Trust and of the Terlea Productions Ret

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant Bonnie Ott Award #93-01767 Name of Respondents Craig Medoff Brian Gregory McGowan Jonah Rosenblatt First Madison Securities Churchill Securities Hercules Capital Inc. Northern Investments Inc. Allied Securities REPRESENTATION For Claimant, Bonnie Ott ("Claimant") Arthur Bamett, Esq., from the law firm