HPlR.16.19S8 l:05PM NftSD REGULATION PL NO.524 P.3/15 N.A.S-D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Anastasios and Eleni Letsos 95-01632 Names of Respondents Jordan Belfort Kenneth Greene Daniel Porush Peter Tsadilis Stratton Oakraont, Inc. REPRESENTATION For Claimants; Christopher Lovell. Esq., Geoffrey M. Horn, Esq. and Peggy Wedgworth, Esq. of the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Consolidated Award Henry C. Wheelwright c/f Emily Watson Wheelwright 95-01631 Lee Adams Wheelwright and Henry C. Wheelwright 95-01633 Henry C. Wheelwright c/f Mark C. Wheelwright 95-01635 Name of Respondent Michael C. Nolan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1995, Cla

N.A.S.D* AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Name of Claimant Carol M. Ravenal 95-01629 Name of Respondents Johnston, Lemon & Co. Maxwell Elbin REPRESENTATION For Claimant Carol M. Ravenal ("Claimant"): Marvin L. Szymkowicz, Esq. of the lav firm of Mendelsohn & Szymkowicz For Respondents Johnston, Lemon & Co* ("Johnston Lemon") and Maxwell Elbin ("Elbin 11 ): Douglas K. Sp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Norma M. and Robert A. Ayers 95-01625 Name of Respondents Alliance Fund Distributors, Inc. Thomas J. Fox Moors & Cabot REPRESENTATION For Claimants Norma M. and Robert A. Ayers ("Claimants"): Sander A. Rikleen, Esq. of the law firm of Hutchins, Wheeler & Dittmar, P.C., Boston, MA For Respondent Alliance Fund Distri

P 24 4 » APR.31.1998 9J31RM NASD REGULATION FL - rsu.^aa NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Case No. 95-01624 Merrill Lynch Pierce Fenner & Smith, Inc. James R. Ottesen REPRESENTATION OF PARTIES For Claimant: George Hoffman, Esq. of West Palm Beach, Florida. For Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch") and James R. Ottes

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John L. Walker 95-01623 Names of Respondents M. Rimson & Company, Inc. Alex D. Shindman Moshe Rimson REPRESENTATION For Claimant: John L. Walker: pro se. For Respondent, Alex D. Shindman: David H. Jarvis, Esq. of the law firm of Singer, Bienenstock, Zamansky, Ogele & Selengut, L.L.P., New York, N.Y. Respondents, M.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Interep Capital Markets, LTD 95-01622 Name of Respondent CS First Boston REPRESENTATION For Claimant Interep Capital Markets, Ltd. ("Claimant"), Leslie K. Case, Esq. of the law firm Gersten, Savage, Kaplowitz & Curtin, located in New York, New York. For Respondent CS First Boston ("Respondent"), Andrew Houston, Esq. of the law

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Uie Arbitration Between Name of Claimant George B. Munroe 95-01616 Name of Respondent D.H, Blair & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 31, 1995 Claimant George B. Munroe ("Claimant"), who appeared Pro Se, alleged that he held an account with Respondent D.H. Blair & Company ("Respondent"). Claimant fu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lonnie D. Phillips 95-01603 Name of Respondents David Gray Edward McKay REPRESENTATION Claimant Lonnie D. Phillips ("Claimant") appeared pro se Respondent David Gray ("Gray") did not appear for the hearing Respondent Edward McKay ("McKay") did not appear for the hearing CASE INFORMATION The Statement of Claim was fi

NA.S.D. AWRD NATIONAL ASSOCIATON F SECUITIES DEALERS. INC. In the matter of the Arbitration Between of Claimant Daniel I. Cronin John O. Cronin vs. Name of Respondent EricLempe RPR Clearing Services Presidential Brokerage, Inc. NASD Arbitration No. 95-01600 REPRESENTATION For Claimants: Daniel J. Cronin, Esq, Cronin & Cronin, Escondido, California For Respondents Presidential Brokerage and Lempe: Gregg A. Johnson, Esq, San Di