•':•"? v / " ' •- / I 6 ^ ' ^ ' 6 AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Kimberly Leonoudakis and Carol Garnant, as Executrices of the Will of Francis M. Crotty, Deceased v. Arbitration No. 96-05116 Name of Respondents Mark A. Erskine and Prudential Securities, Inc. For Claimants: For Respondent Mark Erskine: For Respondent Prudential Securities

* f NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Max Gamzon 96-05115 Name of Respondents Global Trading Group Michael Domin -*• Securities Service Network, Inc. REPRESENTATION For Claimant Max Gamzon ("Claimant") appeared David E. Robbins, Esq. of the law firm Kaufmann, Feiner, Yamin, Gildin & Robbins, LLP located in New York City, New York. Respondent Global T

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dana G. Frye 96-05112 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Tish Keppell George Baskerville, III REPRESENTATION Claimant Dana G. Frye ("Claimant") was represented by Stephen W. Streep, Esq., Earlysville, VA. Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. ("Merrill Lynch"), Tish Keppel

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Stanley Zacharski and Jackie Caldwell, Claimants, and No. 96-05 109 Barren Chase Securities, Inc. and Craig Gallegos, Respondents. REPRESENTATION OF PARTIES For Claimants: Stanley Zacharski ("Zacharski") and Jackie Cilldwell ("Caldwell") (hereinafter collectively referred to as "Claiinants") were represented by Jennifer A. Cons, Esq. of ISaveHe&egair

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05108 David Patrick Shaw, claimant v. Presidential Brokerage, Inc., Daniel G. Lempe and Anthony J. Campen, respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Los Angeles, CA For Respondents appeared Gregg A. Johnson, Esq. - San Diego, CA. DATE FILED: 11/15/96. CASE SUMMARY: Claimant alleged misrepresentation and failure to supervise a brid

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Janet Gordon, Claimant, and No. 96-05105 Charles Schwab & Co., Inc., Respondent. REPRESENTATION OF PARTIES * " Claimant, Janet Gordon ("Gordon"), was represented by Everett B. Gibson, Esquire, located in Memphis, Tennessee. v' ;?his, T:- Respondent, Charles Schwab & Company, Incorporated ("Schwab"), was represented bycRhonda Y. Jones, Esquir

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between, Name of Claimant Cynthia S. Surgent 96-05103 Name of Respondent Laidlaw Equities, Inc. CASE SUMMARY In a case tiled with the National Association of Securities Dealers Regulation, Inc. on November 15. 1996, claimant Cynthia Surgent ("claimant"), who appeared Pro Se, alleged that respondent Laidlaw Equities, Inc. ("Laidlaw") was negl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Prime Charter, Ltd. Case No. 01-02229 Name of Respondent Scott Lynch Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Prime Charter, Ltd. ("Prime"), hereinafter referred to as "Claimant": Ronald Shindler, Esq., Fowler White Burnett, P.A., Miami, Florida. Respondent Scott Lynch ("Lynch") appeared pro se. CASE INFORMATION St

NASD REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ' Name of Claimant Hessein M. Afify 96-05095 Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION Claimant Hessein M. Afify ("Afify") was represented by Donald W. Jones, Esq. and Rehan N. Khawaja, Esq. of the Law Offices of Rehan N. Khawaja, Jacksonville, Florida until, on or about, September 8, 1997 at which time Claim

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Gregg Bostervs. Stratton Oakmont, Inc. and John Carbone. Case Number: 96-5094 HearinaSite: Minneapolis, Minnesota REPRESENTATION OF PARTIES Claimant,Gregg Boster ("Boster")hereinafterreferredto as "Claimant": Eric J. Peck, Esq., Lindquist & Vennum, Minneapolis Minnesota. Claimant was formerly represented by Rebecca E. Bender of Bender and Associates, P.A., located in Minneapolis, Minn