Award NASD Dispute Resolution In the Matter of the Arbitration Between: Helga I. Herrera, Claimant v. American Express Financial Advisors, Inc., Mark R. Dennie and Steve Froling, Respondents Case Number: 00-03742 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant: Charles Ferguson, Esq. Law Offices of Charles Ferguson Seattle, Washington For Respondents: Scott Breneman, Esq. Breneman Law Finn Seattle, Washington

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 00-00386 Owen Firfer vs. Regal Discount Securities, respondent. ATTORNEYS: Claimant Owen Firfer ("Claimant"), appeared Pro Se., Chicago, IL. For Respondent Regal Discount Securities, Inc. ("Respondent"), James H. Mukoyama Jr., Executive Vice President of Regal Discount Securities, Chicago, IL. DATE FILED: January 1, 2000 ~~~~ CASE SUMMARY: Claimant alleged th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Fred C. Sanders 93-05219 Name of Respondents The GMS Group Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 20, 1993, Claimant Fred C. Sanders, who appeared Pro Se, alleged that he purchased $25,000.00 of DuvaJ County, Florida FHA (Claiitorne Apartments, Jacksonville,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William W. and Elizabeth C. Hoeschle 93-05214 Name of Respondents Leo James Roy Harry Warren Moses CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 20, 1993, Claimants William & Elizabeth Hoeschle, who appeared Pro Se, alleged that Respondent Leo James Roy, through A.G. Ed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roger G. and Barbara J. Gemeinhardt JTWROS 93-05204 Name of Respondents Hibbard Brown & Co., Inc. Robert C. McAlexander CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 16, 1993, Claimants Roger G. and Barbara J. Gemeinhardt, who appeared Pro Se, alleged they told Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Henry W. Petrin Thomas C. and Helen C. Bruett 93-05135 Name of Respondents GlenFed Brokerage Services Pat Mulrooney Glendale Federal Bank Christine A. Duncan Julie Buffolino CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 14, 1993, Claimants Henry W. Petrin, T

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Irene Butler Lozano 93-05086 Name of Respondents Matt C. Moniak CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 8, 1993, Claimant Irene Butler Lozano, who appeared Pro Se, alleged that Respondent Matt C. Moniak purchased for her account 1000 warrants of Cybernetics, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant W. Jason Garland 93-05074 Name of Respondent Ronald Ardt CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 8, 1993, Claimant W. Jason Garland, who appeared Pro Se, alleged that Respondent Ron Ardt of Harris Securities, Inc. made fraudulent investment misrepresentations when he r

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Arthur A. Lindefleld 93-05020 Name of Respondents Hanover Sterling & Co., Ltd. RPR Clearing Services CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 3, 1993, Claimant Arthur A. Lindefield, who appeared Pro Se, alleged that his broker at Respondent Hanover Sterling & Co.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Luis R. Alonzo 93-05002 Name of Respondents Chemical Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 2, 1993, Claimant Luis R. Alonzo, who appeared Pro Se, alleged that Respondent Chemical Securities, Inc. failed to execute his order to sell 912 shares of