— N.A.S.D. AXMZD MRTI3IAL ^ffJXXj'irfTKH OF Stf * IU *-'•*' * *** DEAISRS In the Matter of the Arbitration Be Name 03 John F. & Shirley K. Heriiby Theodore Bitter 91-03247 Martin Frankal laSalle Street Securities, lac. For Claimants: Jeffrey Creamer, Esq. of Sbumater, loop & Keoctrick. Respcoadeat Martin Pranteel did not attend the bearing. aespondeat LaSalle Street Securities, Inc. has entered into a settle iijiTmmii with the da

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Donald Morrow Resorrville Inc. Donald Morrow IRA National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 PUBLIC 91-03241 Name of Respondent^ Prudential Securities Inc Joseph Antosh REPRESENTATION For Cla

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-05260 Steve Dumont and Chelsea Dumont, claimants vs. Stephen Estey, respondents. ATTORNEYS: Claimant appeared Pro Se, Norwich, CT. Respondent appeared Pro Se, Oakdale, CT. DATE FILED: November 28, 2000 CASE SUMMARY: Claimants alleged that respondent failed to execute a trade of 3COM stock in a timely manner thereby causing losses to claimants' account. ARBITRATOR'S REPORT: The C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03239 AHARD In the Matter of the Arbitration Between Anchor National Financial Services, Inc. Claimant vs. Phillip A. Barragate, Esq. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, inc. on October 16. 1991, Claimant, Anchor National Financial Services, Inc. by and through their outside counsel, Richard Gottlieb, Esq., of Gottlieb

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03232 AWARD In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Strategic Financial Group, Inc. Phillip D. Miller Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 16, 1991, Claimant, Dean Witter Reynolds, Inc. through its representative, Dominick J. Dorata, Esq., New York,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Adrian J. Good Claimant vs. D.H. Blair & Co., Inc. Wolfgang Hein Respondents PUBLIC CASE #91-03228 AWARD D.H. Blair & 100 shares of H & R Block, Inc. 2,300 shares of Cattleguard CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 15, 1991, Claimant, Adrian J. Good, who appeared Pro S

M.A.S.2... AWARD ASSOCIATICN CP SECURITIES DEALERS r±ie totter at the Arbitration Between nf Michael Kane 91-03227 »-q Cbatfield Dean & Co. James Padgett rTanoois A. Fischer Claimant Michael Kane ("Clainant") was represented by Charles O'RourJce, Esq. of the Law Offices of Charles O'Rourxe. Respcsaient Cbatfield Dean & Co. { "Chatf ield" ) was represented by Stephen F. Of Lohf , gHa-ima« £ ROSS. Respondent James Padgett ("Padgett

PUBLIC ASSOCIATION OF SBCDRITIES DEALERS, INC. CASE f91-03225 ANABD In The Matter Of The Arbitration Between Robert J, Bruno Claimant vs. Hibbard Brown & Company, Inc., and Ken Clayton Respondents CBSB 3MMMY In a claim filed with the National Association of Securities Dealers, Inc. on October 15, 1991, Claimant Robert J. Bruno who appeared Pro Se, alleged that in October 1989 Respondent Ken Clayton a registered representative

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03223 AWARD In the Matter of Arbitration Between Jeff L. McGraw Claimant vs. Pacific Brokerage Services Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 15, 1991, Claimant Jeff L. McGraw who appeared Pro Se, alleged that Respondent Pacific Brokerage Services failed to execute an order to purchase (3) Septe

N.A.S.D. ANAED NATICMAL ASSOCIATION OF SECDRITE2S DEALERS In the tetter of tne Arbitration Between Name of Claimant (s) Barry Tnqbefr vs. 91-03222 Name_of_R£spcindent(s) Richey Financial Group, For Claimant: H my-maa Fehn, Esq., Fields, Fehn & Sherwin For Respondents: Lloyd S. Pan tell, Esq., Relnsteiri, Pantell, naiv*T*« &. Rice TBBQROKSIQX Statanent of naim filed: October 15, 1991 Claimant's Sutmiflsion Agreement signed oat October 4,