NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04583 Laurence Pilgeram, Ph.D., Claimant vs. Robert K. Malkin, Respondent. ATTORNEYS: Claimant, Laurence Pilgeram, Ph.D., ("Claimant"), appeared Pro Se, Goleta, CA. For Respondent, Robert Keith Malkin, ("Respondent"), appeared James M. Fraser, Esq., of the Law Offices of Patrick E. Whalen, South Coast Metro, CA. DATE FILED: October 16, 2000 CASE SUMMARY: Claimant alleged that Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DF.ALERS. INC. In the matter of the Arbitration Between Name of Claimant Mark Peterson NASD Arbitration #95-00959 vs. Name of Respondents Murphey Favre Inc, Washington Mutual Savings Bank Johanna Steele REPRESENTATION Claimant represented himself. For Respondents Murphey Favre and Washington Mutual: H. Richard Namba, Esq., Murphey Favre Inc., Seattle, Washington Respondent Joh

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Incorporated and 95-00947 Name of Respondent Trey Fecteau REPRESENTATION OF PARTIES Prudential Securities, Inc. ("Claimant") was represented by Mark L. Seffinger, Esq. of Prudential Securities, Inc. located in New York, NY. Trey Fecteau ("Respondent") did not file an answer and did not appear at the hea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 95-00939 Name of Respondent Michael Silverstein CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 22, 1995, Claimant PaineWebber, Inc., through in-house counsel, Joseph F. Generelli, Esq., alleged that on or about March 22, 1994, Respondent Michael Silverstein,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimants Esfandiar Mokhtari and Mehri Matin v. Name of Respondents Paulson Investment Company, Inc. and Sadid Lodhi NASD Arbitration No. 95-00936 For Claimants: For Respondents: REPRESENTATION Edward W. Russey, Esq. and Monty G. Griffin Law Offices of Jeff Dennis Ferentz Newport Beach, California Keith A. Kett

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Annie J. Stevens, and William J. Stevens, Claimants, v. No. 95-00922 Merrill Lynch, Pierce, Fenner & Smith, Inc., and George Eubank, Respondents. REPRESENTATION OF PARTIES Annie 3. Stevens, and William 1 Stevens ("Claimants") were represented by Daniel L. Goldberg, Esq., St. charles, Missouri. Merrill Lynch, Pierce, Fenner & Smith, In

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. and 95-00914 Name of Respondent David Meza REPRESENTATION OF PARTIES PaineWebber, Inc. ("Claimant") was represented by Lisa Catalano Tillem, Esq. of Paine Webber, Inc. located in Weehawken, NJ. David Meza ("Respondent") appeared Pro Se'. CASE INFORMATION The Statement of Claim was filed on or about F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arletha P. Kerns 95-00910 Name of Respondents Terry M. Laymon Magellan Securities Inc. Shirley R. Brace ^ CASE SUMMARY [ In a claim filed with the National Association of Securities Dealers, Inc. on February 21, 1995, Claimant Arletha P. Kerns ("Claimant"), who appeared Pro Se, alleged that Respondent Magellan Securitie

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James K. Garland 95-00908 Name of Respondents Edward A. McKay, Jr. Bruce N. Barthold CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 22, 1995, Claimant James K. Garland, who appeared Pro Se, alleged that Respondents Edward A. McKay, Jr. ("McKay"), and Bruce N. Barthold ("B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant Liberty Capital Markets, Inc. NASD Arbitration v. No. 95-00904 Name of Respondents Prudential Securities, Inc., Steven McCoy, Scott C. Kersh, Howard N. Herring and Gene Richard Lombardo, Jr. REPRESENTATION For Claimant: David M. Grey, Esq. Turner, Cooper & Reynolds Irvine, California and Joseph L. Alioto,