Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Louisa Lazzinnaro Trust (Claimant) vs. Joseph Langer, Investors Associates, Inc., Herman Epstein, and Schneider Securities, Inc., (Respondents) vs. Massimo Lazzinnaro and Mary Jane Lazzinnaro (Third-Party Respondents) Case Number: 99-01258 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Louisa Lazzinnaro Trust, hereinafter referred to as "Claimant": Kevin T

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03413 Thomas R. Martin, Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: Claimant, Thomas R. Martin, ("Claimant"), appeared Pro Se., Pompano Beach, FL. Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared through its in-house counsel Ellen Sheridan-Cona, Esq., New York, NY. DATE FILED: August 8, 2000. CASE SUMMARY: Claimant a

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Adrian Sangeorzan (Claimant) vs. Astley Montague and Josephthal & Co., Inc., (Respondents) Case Number: 99-01256 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Adrian Sangeorzan, hereinafter referred to as "Claimant": Adam J. Greenberg, Esq., Sobol & Greenberg, P.C., New York, New York. Respondent, Josephthal & Co., Inc. ("Josephthal"): John E. Bersin, Esq., Asso

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert J. Smith, Claimant v. Charles Schwab & Co., Inc. and Richard Dennis Sanford, Respondents. Case Number: 99-01255 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: G. Mark Brewer, Esq. The Brewer Law Firm San Diego, California For Respondents: Karl A. Cole-Frieman, Esq. Charles Schwab & Co., Inc. San Francisco, California C

NASD NASD Re 9 ulation ' |nc - Office of Dispute Resolution REGULATION 125 Broad Street' 36th Floor * New York. NY 10004-2193 * 212-BS3-4400 * Fax 212-856-4389 An NASO Compary Satellite Office at: 1735 K Street * 4th Floor * NW * Washington. DC 20006-1506 ' 202-728-8958 'Fax 202-728-6952 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01254 A.S. Goldmen & Co., Inc., claimant vs. Vincent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Be Thin Medical Weight Loss, Corp., Claimant v. Sunpoint Securities, Inc., Matthew J. Beaulieu, Gary Waye, H, Van Roberson Lewis, HI, Brett William Hagen, Donald L. Katz, and Dianne B. Childers, Respondents Case Number: 99-01251 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Be Thin Medical Weight Loss, Corp. For Respondent Sunpoint Securi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michele N. Ferrett, (Claimant) vs. The CMS Group, L.L.C., (Respondent) Case Number: 99-01242 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michele N. Ferrett, hereinafter referred to as "Claimant", appeared pro se. Respondent, The GMS Group, L.L.C., hereinafter referred to as "Respondent": Joseph DaProcida, Esq., Counsel, Gruntal & Co., L.L.C., New York,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dennis J. Carothers, Claimant vs. PaineWebber Incorporated, Respondent. Case Number: 99-01241 Hearing Site: REPRESENTATION OF PARTIES Claimant, Dennis J. Carothers, (hereinafter referred to as "Claimant"): Vincent Zuccaro, Esq., 101 Continental Place, Suite 111, Brentwood, TN 37027. Respondent, PaineWebber, Incorporated (hereinafter referred to as "Respondent"): Mark S. As

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Robert C. Nowotny Case No. 99-01240 Names of Respondents J.P.Turner & Co., LLC Argent Securities, Inc. Marion Daniel Sherrill REPRESENTATION OF PARTIES For Claimant, Robert C. Nowotny ("Nowotny"), hereinafter referred to as "Claimant": J. Pat Sadler, Esq. of the law firm of Sadler & Hovdesven, P.C., Atlanta, Georgia. For Respondents J.P. Turner & Co

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Karla S. Burnett Case No. 99-01239 Name of Respondent Steven M. Redden REPRESENTATION OF For Karla5. Burnett ("Burnett"), hereinafter referred to as 'Claimant": James C. Cothran, Jr., Esq., Spartanburg, South Carolina. ; For Steven M. Hedden ("Hedden"), hereinafter referred to as "Respondent": William (?.> Yarborough, Esq. of the law firm of Ashmore & Yarborough, P.A.,