AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Elizabeth M. Horton, Claimant, v. No. 95-04614 Financial Dynamics, Inc., Lauren G. Childress, and Chubb Securities Corp., Respondents. REPRESENTATION OF PARTIES Claimant Elizabeth M. Horton was represented by Michael H. Wald, Esq. of Law Offices of Michael H. Wald located in Richardson, TX. Respondent Financial Dynamics, Inc. was not rep

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William Dawson 95-04609 Names of Respondents Calton & Associates Inc. Terry Duffield REPRESENTATION For Claimant, William Dawson ("Dawson"): Jeffrey P. Coleman, Esq. of the law firm of Bonner, Hogan & Coleman, P.A., Clearwater, FL. For Respondents, Calton & Associates, Inc. ("Calton") and Terry Duffield ("Duffield 11

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Robert Bruce Harris 95-04602 Name of Respondents Cantella & Co., Inc. George Rosen REPRESENTATION For Claimant, Robert Bruce Harris ("Claimant"), appeared John E. Ryan, Esq. of the law firm Kwiatkowski & Ryan, in Floral Park, New York. For Respondent, Cantella & Co., Inc. ("Cantella"), appeared Michael Sheetz, Esq. of the law firm

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Fred L. and Michelle A. Ceroli Claimants v. NASDR Arbitration No. 95-04596 La Jolla Securities Corporation Tom Moore © National Association of Securities. Dealer* ?•*-. Respondents REPRESENTATION OF PARTIES Fred L. and Michelle A. Ceroli ("Claimant") represented themselves pro se. All Rights Reserved La Jolla S

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Abe Holtzman David Filer vs. Case No. 95-04588 Name of Respondents H.J. Meyers & Co., Inc. Thomas James Associates, Inc. Robert Seteducati Mark Allen REPRESENTATION For Claimants Abe Holtzman ("Holtzman") and David Filer ("Filer") (collectively "Claimants") appeared Dan Brecher, Esq., located in New York, New York. For Respondents H.J.

N.A.S D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Shawn M. Teevin vs. NASD Arbitration No. 9504585 Name of Respondent Biltmore Securities, Inc. Howard Gostfrand REPRESENTATION For Claimant: Thomas V, Dulc^ch^Esq.,. Schwabe, Williamson & Wyatt, P.O., Portland; . " . . ; . ' , ;. Oregon .. . ~?-.~.~'-—•-'.'- .:—.„-.:.:.:.. " . . ,. .-• F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary Ann Logan 95-04582 Name of Respondent Chase Manhattan Investment Services, Inc. REPRESENTATION For Claimant: Scott C. Ilgenfritz, Esq. of Johnson, Blakely, Pope, Bokor, Ruppel & Burns, P.A., Tampa, FL. For Respondent: Jacob Zamansky, Esq. of Singer Zamansky LLP, New York, NY. CASE INFORMATION Statement of Claim fil

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Michele Herman and Name of Respondents NASD Case Number: 95-04577 -^-Barrett Day Securities, Inc. David Feyjin Eric Peremen Matthew Frederick J.B. Oxford & Company, Inc. & National Association of Securities Dealers, Inc. All Rights Reserved REPRESENTATION OF PARTIES Claimant Michele Herman ("Claimant")

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01059 Grace M. Langen and George E. Langen, claimants vs. NatCity Investments, Inc. and Quint Dalrymple, respondents. ATTORNEYS: Claimants appeared Pro Se, Ann Arbor, MI. For Respondents appeared Mary Lynn Menta, Compliance Analyst, Cleveland, OH. DATE FILED: March 2, 2001 CASE SUMMARY: Claimants alleged that due to respondents' failure to process their purchase order as request

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between ^ National Association Securities DcnV* George E. Faust and Carma R. Faust, - 1004 Claimants, Ay Rights Reserved v. CASE No. 95-04575 Berthel Fisher & Co. Financial Services and Craig Eugene Halfpop, Respondents. REPRESENTATION OF PARTIES Claimants, George E. Faust and Carrna R. Faust were represented by Gail E. Boliver, Esq