Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sharon C. Norton and Dominion Properties, Inc., Claimants vs. Salomon Smith Barney, Inc. and Robert C. Bock, Respondents Case Number: 01-02947 Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES For Sharon C. Norton ("Norton") and Dominion Properties, Inc. ("Dominion"), hereinafter collectively referred to as "Claimants": Andrew O. Whiteman, Esq., Hartzell & Whitem

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Mattec^f the Arbitration Between tjame of Claimant Roger K. O'Reilly, Trustee Roger K. O'Reilly Trust and 94-00574 Name of Respondent Gregory Gurriero REPRESENTATION OF PARTIES Roger K. O'Reilly, Trustee Roger K. O'Reilly Trust ("Claimant") was represented by Roger K. O'Reilly, Esq., O'Reilly, Cunningham, Norton & Mancini, Wheaton, Illinois. Gregory Gurriero ("Respondent") wa

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Harriet Reeves, Claimant, ^ tl c*)^^ v. NASD No. 94-572 Ernest Haupt, Respondent Representation For Claimants: Richard Sacks of Investors Recovery Services, Novato, California and Irwin Stein, Esq., San Francisco, California For Respondent: H. Ray Peffer of Smith, Merrill and Peffer, San Ramon, California Case Information Statement of Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NatnepfCJainiants Gary J. & Christine B. Masonick 94-00571 Name of Respondents Dean Witter Reynolds, Inc. John Ryff John Gardner CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 16,1994, Claimants Gary and Christine Masonick, who appeared Pro Se, alleged that Respondents Dean Witter Rey

P!' n llC N.A.S.D. AWARD n.-i-iv NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Charles D. Miller 94-00569 Name of Respondents) The Robinson-Humphrey Co. Inc. REPRESENTATION For Claimant Charles D. Miller: Glenn A. Delk, Esq. of the law firm of Lightmas and Delk, Atlanta, GA. For Respondent The Robinson-Humphrey Company, Inc.: Douglas C. Wurth, Esq., in-house counsel at

N.A.S.D. AWARD ASSOCIATION QF SECURITIES QEA1.E.PS , INC. In the matter of the Arbitration Between ^ Cl a imapt ( s ^ George Moran Leanore Carman Moran Christine A. Moran George Moran, Trustee of the George Moran IRA R/O DTD OS/07/87 Leanore Carman Moran, Trustee of the Leanore Carman Moran IRA R/O DTD 05/07/87 NASD Arbitration No. 94-00567 f Resondent fa) Prudential Securities, Inc. For Claimants: Keith J. Hollis, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. 94-00894 Name of Respondent Americo Longo, Jr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1994, Claimant Dean Witter Reynolds, Inc., through it's representative and in-house counsel, Erica A. Bunin, Esq., alleged that Respondent Americo Longo, J

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Robert W. Hyatt 94-00893 Name of Respondents LaJolla Capital Corp. Emmett A. Larkin & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1994, Claimant Robert W. Hyatt, who appeared Pro Se, alleged that his broker at Respondent LaJolla Capital Corp. ("LaJolla") tailed to close his a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Howard M. Silverman 94-00566 Name of Respondent Richard A. Devine REPRESENTATION Claimant Howard Silverman ("Claimant"), appeared pro se. For Respondent, Richard A. Devine ("Respondent"), Lloyd Clareman, Esq., located in New York, New York. CASE INFORMATION Statement of Claim filed: February 12, 1994 Claimant's Subm

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between JANICE B. HEIM, an individual, and as Trustee of the J.B. HEIM REVOCABLE TRUST, Claimants, v. NASD No. 94-00561 DAVID A. PARK, DIANA R. MARINIELLO-PARK, DAVID DUKE MANAGEMENT CORP., DDM EQUITY MANAGEMENT CORP., DAVID DUKE FINANCIAL, INC., DELTAVEST FINANCIAL, INC., LARRY P. CARHARTT and MICHAEL E. PLATT, Respondents. Representation For Claim