N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ronald S. Harland 93-00390 Name of Respondents Hibbard Brown & Company, Inc. David K. Van Houten James Rapp B. Gregory Buscetto CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1993, Claimant Ronald S. Harland, who appeared Pro Se, alleged that Respondent Hibbard Bro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elliot Greenberg 93-00388 Name of Respondents Connecticut Mutual Financial Services Kenneth E. Knox CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1993, Claimant Elliot Greenberg, who appeared Pro Se, alleged that Respondent Kenneth E. Knox of Respondent Connecticut Mu

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gene Bogenberger, Claimant v. Grant Bettingen, Inc., Triquest Financial, Inc., Wedbush Morgan Securities, Inc., and George J. Abrahamsen, Respondents Case Number: 00-05029 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jeff Dennis Ferentz, Esq. Greenbaum & Ferentz LLP Newport Beach, California For Respondent Grant Bettingen, Inc.: Grant B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between f Climants Legrand P. and Madelyn P. Fisk vs. Name of Respondents Prescott, Ball & Turben, Inc. Robert A. Hamilton 93-00384 REPRESENTATION For Claimants; Edward Russey, HI of Investors arbitration Services. For Respondents: Patrick R, Hogan, Esq. of Reid and Reid. CAS Statement of Claim filed: January 19, 1993. Claimants' Submis

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ming Ling Hsue 93-00380 Name of Respondents Pyramid Financial Corp. Chaosong Hsue Fengjui (a.k.a. Nancy) Sun John (aka Juan) Hsu CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1993, Claimant Ming Ling Hsue, who appeared Pro Se, alleged that Respondent Pyramid Finan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant J.W. Charles Securities, Inc. 93-00373 Name of Respondent Steven B. Soloman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1993, Claimant JW Charles Securities, Inc., through its counsel Gregory Tendrich, Esq., Boca Raton, FL, alleged that Respondent Steven Soloman has fai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Name of Claimants James H, and Bonnie L. Lear 93-00370 Name of Respondents Protective Group Securities Corporation Michael Flannigan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1993, Claimants James H. and Bonnie L. Lear who appeared Pro Se. alleged that they purchased Euro Disneyla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert and Jeannette Kotowski 93-00367 Name of Respondents Prudential-Bache Securities Inc. Jerome Gendron Michael Durdil REPRESENTATION For Claimants, Robert and Jeanette Kotowski, at the hearing: Scott Goldsher, Esq. of Goldsher and Goldsher, Chicago, Illinois. For Respondents, Prudential Securities, Inc., Jerome Gen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Frank J. & Marie R. Salem 93-00362 Name of Respondent Hibbard Brown & Company Inc. REPRESENTATION Claimants, Frank J. and Marie R. Salem appeared pro-se. For Respondent, Hibbard Brown & Company, Inc.: Steven B. Caruso, Esq. of Hibbard Brown & Company Inc. CASE INFORMATION Statement of Claim filed: February 1, 1993.

N.A.SJD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Amy Seward NASD Arbitration No. 93-00359 Name of Respondent Bear Stearns & Company REPRESENTATION For Claimant: C. Fred Cassity, Esq. - Pasadena, California For Respondent: Terry Ross, Esq. - Keesal, Young & Logan - Long Beach, California CASE INFORMATION Statement of Claim filed: February 2, 1993 Claimant's S