NASD REGULATION AWARD ^7 Q { I 7 Q NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Robert H. Donohoe of espondents Sunpoint Securities Inc. Robert E. Hawkins 95-04840 REPRESENTATION Claimant Robert H. Donohoe ("Claimant") was represented by Andrew Fulton, IV, Esq., of the law firm of Cohen Chernay Norris Weinberger & Harris, North PaJm Beach, FL, Respondent Sunpoint Securiti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Estate of Margaret G. Eyler Name of Respondent(s) Buckhead Financial Corporation David Blackwood 95-04839 REPRESENTATION Claimant, the Estate of Margaret G. Eyler ("the Estate"), was represented by Robert M. Weinberger, Esq. of Cohen Cheraay Norris Weinberger & Harris, North Palm Beach, Florida. Respondent Bucfchead Fina

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Betty M. Renfroe vs. 95-04838 Name of Respondents Investors Associates Frederick T. Mitchell REPRESENTATION For Claimant Betty M. Renfroe ("Claimant") appeared Raymond L, Moss, Esq.,at the time of the filing with the law firm Branch, Pike & Ganz. and now with the law firm of Sims, Moss, Kline & Davis, LLP, both located in At

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Nadine Stubbs/Susan Fought/Joseph Stubbs 95-04837 Name of Resaondems Interstate/Johnson Lane Paul J. Marshall CASE SUMMARY In a claim f|led :; wi&.th»j4atKi.[ud^5ociat!pn.Qf r S«iwrities Dealers, Inc. on October 12, Nadine Stubbs ^"N, Stubbs"), Susan Fought and Joseph Stubbs ^ {"Claimants' 1 ), who

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Susan Blezow 95-04835 Name of Respondents Samuel A. Ramirez & Co., Inc. Nick D'AIleva REPRESENTATION For Claimant Susan Blezow ("Claimant") appeared Joseph M. Palmiotto, a sole practitioner located in New York City, New York. For Respondent Samuel A. Ramirez & Co., Inc. ("Ramirez") appeared Kathy H. Rocklen, Esq. of the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anne M. McGonagle 95-04833 Nfame of Respondent Steven Tardiff CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 12, 1995; Claimant Anne M. McGonagle ("Claimant"), who appeared Pro Se, alleged that Respondent Steven Tarttiffk ("Respondent"), while employed by Linsco Private Ledger

^r r\ t- •-' N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS © National Association of Securities Dealers. Inc. In the Matter of the Arbitration Between All Rights Reserved Name of Claimant Maria Joaquin 9504827 Bank of America NT & SA Salim Kimiagar BA Investment Services, Inc. CASE SUMMARY •l?TT?i^r^?^u?^*TT"? ich^:".; •'.' .•- • •< ".•_,-.,>..•,, '•• '•-.•'•:'• •>-.-•   ; "-- In a claim filed with

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants R.T. & Barbara B. Musselwhite R.T. Musselwhite Trust Barbara B. Musselwhite Trust Barbara B. Musselwhite 95-04820 Name of Respondents Prudential Securities Inc. Herman Jaehne REPRESENTATION For Claimants, R.T. & Barbara B. Musselwhite, R.T. Musselwhite Trust, Barbara B. Musselwhite Trust, and Barbara B. Musselwhite

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Abraham J. Friedman, Claimant v. No. 94-04810 Jerry Steinberger, and Smith Barney, Inc., Respondents. REPRESENTATION OF PARTIES =_ HC == H ~ nH «_=_ m === =x _ B== ^-. Abraham J, Friedman ("Gaimant") was represented by Jon A. Titus, Esq., and David R. Jordan, Esq., of Titus, Brueckner & Berr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gail Hoy, Claimant v. Salomon Smith Barney, Inc., James H. Oliver, and Ronald S. Shores, Respondents Case Number: 01-01997 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, California For Respondents: Paul J. Schumacher, Esq. David D. Piper, Esq. Keesal,