AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimants AJA Trust Estate, Amore Pepetuo, Inc., Alfred J. Anzalone Family Limited Partnership, Alfred Anzalone and Joe Anzalone, JTWROS, and Alfred J. Anzalone v. Name of Respondents Global Equities Group, Inc., Quentin Quintana, Wayne Wichert, and Alex Shvarts Arbitration No. 98-00009 REPRESENTATION For Claimants: Mont E. Tanner, Esq. Law O

AWARD NASD Regulation, Inc. In the-Matter of the Arbitration Between: " ' . • . ' . ' . ' . ' •" s~ BARBARA ARTHUR, LARRY DORR, KECK KIMBELL, WALDO SCHROEDER, SANDI SCHROEDER, ROGER WILLIAMS, LANI WILLIAMS, GARLAND C. CAMPBELL, JR., MARILYN CAMPBELL, PAUL S. LEWIS, DONNA LEWIS, WILLIAM C. ROCHA, DANA L. ROCHA, MARTIN E. SPONGBERG, ALISON L. SPONGBERG, FRITZ FRANKE and SHERRY FRANKE, Cla

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Carter L. Doolittle Case No. vs. 98-00004 Name of Respondents Thomas J. Parilla and Dean Witter Reynolds, Inc. REPRESENTATION For Claimant Carter L. Doolittle ("Claimant") appeared Harold J. Bender, Esq. of the firm Gifford Lay & Johnson, located in Erie, Pennsylvania. For Respondents Thomas J. Parilla ("Parilla") and Dean Witter Reynolds, Inc. ("Dean W

AWARD Regulation, Inc In the matter of the Arbitration Between Name of Claimantfs) Douglas K. Smart " '•• : Koni K. Smart Arbitration • . • No. 98-00002 Name o£ Respondent is) Michael E. Spagnoli Mark A. Hanna " • . The Harriman Group Incorporated . REPRESENTATION, For Claimants: Randall R. Heiner, Esq.,'-Salt Lake City, Utah For Respondent Michael E. Spagnoli :.,'•'Edward J.. Toscano, Esq., Garden City./ New York. Fo

NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION IN THE MATTER OF ARBITRATION'BETWEEN Charles Schwab & Co., Inc., Claimant No, 97-06067 v. Fred Weatherly, Respondent REPRESENTATION OF PARTIES Claimant Charles Schwab & Co., Inc. was represented by Diane Fischer, Esquire and Linda Gallagher, Esquire of Gomberg, Kane & Fischer, Ltd. Located in Chicago, Illinois. Respondent Fred Weatherly was represented pro se. CASE INFORMATION Statement

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: John O'Malley, (Claimant) vs. Monroe Parker Securities, Inc., JB Oxford & Company, Clinton R. Keegan, Alan Lipsky, Bryan J. Herman, Ralph J. Angeline, (Respondents). Case Number: 97-06064 Hearina Site: Dallas, TX REPRESENTATION OF PARTIES Claimant, John O'Malley ("O'Malley"): Mike O'Neil, Esq., Law Offices of Mike O'Neil, Dallas. Texas. Respondent, J.B. Oxford & Company, ("J.B

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Josephine A. Kerr, (Claimant) vs. GKN Securities Corporation and Ben Dembin, (Respondent). Case Number: 97-06056 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Josephine A. Kerr, hereinafter referred to as "Claimant": William S. Shepherd, Esq., William S. Shepherd & Associates, Houston, Texas. Respondents, GKN Securities Corporation and Ben Dembin, hereinafter collec

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Kay A. Mills and 97-06055 Name of Respondent Vincent Greico Rauscher Pierce Refsnes, Inc. n/k/a Dain Rauscher, Inc. REPRESENTATION OF PARTIES Kay A. Mills ("Claimant") was represented by C. William Brownfield, Esq., C. William Brownfield & Associates, Columbus, Ohio. Vincent Greico ("Respondent Greico") was represented by Steven A. Samide, Esq., Mintz & Gol

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Donald J. Tipper 97-06054 Names of Respondents J.W. Barclay & Co.,Inc. Dexter Cube REPRESENTATION For Claimant Donald J. Tipper ("Claimant") appeared Brian Guillorn, Esq. of the Law Offices of Kathy H. Rocklen, P.C., located in New York, New York. For Respondents J.W. Barclay & Co., Inc. ("Barclay & Co.") and Dexter Cube ("Cube") (referred to collec

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Stockwalk.com, Incorporated and 01-01742 St. Paul, Minnesota Name of Respondents Brett R. Hanson & Cindy L. Hanson Imprint Technologies, L.L.C. REPRESENTATION OF PARTIES Stockwalk.com, Incorporated ("Claimant") was represented by F. Chet Taylor, Esq., Miller Johnson Steichen Kinnard, Minneapolis, Minnesota. Brett R. Hanson & Cindy L. Hanson