Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Cappelletti Family Partnership, (Claimant) vs. Capital Securities of America. Inc.. Banich Coleman, and Robert Hartley. (Respondents) Case Number: 96-05823 Hearins Site: New York. New York REPRESENTATION OF PARTIES Claimant, Cappelletti Family Partnership, hereinafter referred to as "Claimant": Dan Druz, Esq.. a sole practitioner. Manasquan, NJ. Previously represented by: Andr

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Richard A. and Cynthia Farnham 96-05817 Names of Respondents Thomas F. White & Co., Inc. Greenway Capital Corporation Charles Molnar For Claimants Richard A. Farnham and Cynthia Farnham ("Claimants") appeared Anne H. Orr, Esq., a private practioner locatedin Atlanta,-Georgia;—- Claimants withdrew all claims against Respondent Thomas F. White & Co., Inc. (

/ ' V AWARD NASD Regulation, Incorporated Office of Dispute Resolution In the Matter of Arbitration Between Mitchell Maximoffand Jean Maximoff, Claimants, and No. 96-05816 Andy Tomlinson, Jr., and Hornor Townsend & Kent, Inc., Respondents. REPRESENTATION OF PARTIES » Claimants, Mjtclxell M^xjmoff and Jean L M^itrioff (hereinafter collectively "Ciairnants")» were, represented by Charles S. Price, Esquire of Allen & Price, PLC, loc

1l(f N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05814 First of Michigan Coiporation, claimant v. Michael J. Hewitt, respondent. ATTORNEYS: For Claimant appeared Jeffrey D. Plopa, Detroit, MI. Respondent did not appear. DATE FILED: 12/3C/96 CASE SUMMARY: Claimant alleged Breach of contract and failure to repay outstanding balance of promissory note upon termination. Claim Data Claim: $9,

NASD REGULATION, INC. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Andrew Sessler Case Number 96-05813 Name of Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES For Andrew Sessler ("Claimant") appeared Scott K. Nigro, Esq. a sole practioner located in Long Beach, New York. For Prudential Securities, Inc. (^'Respondent'*)' appeared David D. Hartung, of Prudential ; ; • .

In the Matter of the Arbitration Between Name of Claimant Raymond M. Allan) 96-05810 Names of Respondents Euro-Atlantic Securities, Inc. Robert Mines REPRESENTATION For Claimant: Julie E. Fox, Esq. of Ackennan Link & Sartory, West Palm Beach, Florida. Respondent Euro-Atlantic Securities, Inc. ("Euro-Atlantic") did not appear (see "Other Issues"). Respondent Robert Hines ("nines") did not appear (see "Other Issues"). Vv^.nW*i< CASE INFORMATIO

STIPULATED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Alex Maul, Claimant, v. No. 96-05808 Rocco Guidicipietro, and State Street Capital Markets Corp., Respondents. REPRESENTATION OF PARTIES For Claimant Alex Maul ("Claimant"): David H. Zimmer, Esq., located at Two Greenwich Plaza, Greenwich, CT. For Respondent Rocco Guidicipietro ("Guidicipietro"): Hayward Richard Pressman, Esq.,

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantfs) Metta Foundation v, Arbitration No. 96-05805 Name of Respondents') Howards. Gelfand REPRESENTATION For Claimant: Wade F. Hyder, Esq. Santa Rosa, California For Respondent: Howard S. Gelfand New York, New York CASE INFORMATION Statement of Claim filed December 26, 1996. First Amended Statement of Claim fil

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eric Hippeau, (Claimant) vs. Salomon Smith Barney Inc., (Respondent) Case Number: 01-01417 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Eric Hippeau, hereinafter referred to as "Claimant": William F. Dahill, Esq., Wolmuth Maher & Deutsch LLP, New York, NY. Respondent, Salomon Smith Barney Inc., hereinafter referred to as "Respondent": Kevin J. Deloatch, E

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Estate of Sidney Gelman, Deceased By Elaine R. Gelman, Personal Representative, Claimant, v. Street Capital Markets Corp., Radcliff St. Aubyn Bent, Schroder Wertheim & Co., Inc., Respondents. Case Number 96-05802 Claimant Estate of Sidney Gelman, Deceased By Elaine R. Gelman, Personal Representative: ("Claimant") was represented by Antho