MPY.18.199S 11=24AM NfSD REGULATION FL NQ.579 P. 13 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between * Nams of Claimant L. Michael Rhodes 9740127 Metropolitan Life Insurance Co. John Carlton Moorcroft Foi Claimant; H. Marie Vtetti, Esq., of Tilghman & Vie*, P. A., Miami, Florida. For Respondent Metropolitan Life Insurance Co. ("Metfife"): Marilyn J, Holifieid, Esq. and Thomas H. L

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between William H. Davidson and Mesa, Inc. Claimant, and No. 97-00126 The Harriman Group, Inc. a/k/a HGI and Joseph Tuozzo,Bernice Lerner, Jeffrey Gray, Frank Casillo, Hanifen, Imhoff Clearing Corporation, The Harriman Group, Inc., Mark A. Hanna, Stephen Palumbo and Brian Douglas Scanlon Respondents. REPRESENTATION OF PARTIES Claimants, William H. Davidson and Mesa, Inc. ("

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant J. Craig Yacoe 97-00119 Name of Respondent Wheat First Securities, Inc. REPRESENTATION Claimant J. Craig Yacoe ("Claimant") appeared pro se. Respondent Wheat First Securities. Inc. ("Respondent") was represented by Stephen T. Perkins* Esq., LeCIair Ryan, Richmond, VA. CASE INFORMATION The Statement of Claim was

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) John DeRosa v. Arbitration No. 97-00118 Name of Respondent(s) GNA Securities, Inc. REPRESENTATION For Claimant: Robert P. Biegler, Esq., Biegler, Opper & Ortiz Sacramento, California For Respondent: Edward J. Wiles, Jr., Esq. GNA Securities, Inc. Stamford, Connecticut CASE INFORMATION Statement of Clai

NASD REGULATION AWARD In the Matter of the Arbitration Between Name nf riai Patricia Levin 97-00117 Name of Respondents Josephthal Lyon & Ross Incorporated Michael H. Hirsch Meg Newman REPRESENTATION Claimant Patricia Levin ("claimant") appeared pro se. For respondents Josephthal Lyon & Ross Incorporated ("Josephthal"), Michael Hirsch ("Hirsch") and Meg Newman ("Newman") appeared Robert E. Murphy, Esq., Deputy General Counsel of Jose

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John D. Kaufman and John D. Kaufman IRA Rollover, Claimants v. Coleman & Company Securities, Teddy Ishak, Elie Zaccai, Philip C. Puccio, Sr., David Ehud Laska, Michael John Urbinato, and Coleman Holding Corporation, Respondents Case Number: 01-01426 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Jeffrey A. Feldman, Esq. Law Offices of Jeffrey A.

NASD REGULATION, INC. AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Barney Weinman v. Arbitration No. 97-00116 Name of Respondents Bear Stearns & Co., Inc. and Lief Fiel REPRESENTATION For Claimant: Steve A. Buchwalter, Esq. Law Offices of Steve A. Buchwalter Encino, California For Respondents: Elizabeth H. Lindh, Esq. Keesal, Young & Logan Long Beach, Cali

y ; J N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00112 Steven J. Vastola, claimant vs. Peter Liounis, Thomas Sunderland and San Clemente Securities, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Wolcott, CT. For Respondent Peter Liounis, appeared Michael F. Bachner, Esq., New York, NY. Respondents Thomas Sunderland and San Clemente Securities, Inc., appeared Pro Se, through

AWARD NASD Regulation, Incorporated Office of Dispute Resolution In the Matter of Arbitration Between Everen Securities, Inc., Claimant, and No. 97-00111 Allan R. Singleton, Respondent. RiyRESENTATION OF PARTIES Claimant, Everen Securities, Incorporated ("Everen"), was represented by Diane C. Fischer, Michael A. Kraft and Ronald P. Kane, Esquires of Gomberg Kane & Fischer, Limited, located in Chicago, Illinois. Respondent, Allan R. Singl

NASD Regulation, Inc., Award In the Matter of Arbitration Between James Banner, William O.G. Banner, Barbara Drake, William Oxford G. Danner Irrevocable Trust, Jimmie G. Danner, Trustee, Daniel M. Drake Trust, Jimmie . and William Danner, Trustees, Estate of Acton G. Danner, James Danner, Executor, William Getty Stannley Irrevocable Trust, Jimmie and William Danner, Trustees, Estate of Oxford G. Danner, James Danner, Executor, and Barbara an