"JUN. 1.1999 3=17PM NO.969 P.20 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names Arnold and Cindy A. Lieberman Names of Respondents Sterling Foster & Co., be. Adam R, Uebennan Craig L. Ketterman John Gorman Frank J, Monroig 98-02528 REPRESENTATION For Claimants Arnold and Cindy A. Lieberman ("Claimants"): Arnold L. Uebermau, Esq., Miami, Florida. For Respondents Staling Foster & Co., Inc. ("S

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joseph Lingrey, Claimant v. Dean Petkanas and Franklynn J. Batchkoff, III, Respondents. Case Number: 98-02525 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Joseph L. Lingrey In Pro Per Pacific Palisades, California For Respondent Dean Petkanas: Dean Petkanas In Pro Per Old Westbury, New York For Respondent Franklynn J. Batchkoff, III: Pa

r .-* AWARD NASD Regulation, Inc. In the Matter of Arbitration Between Carlos Mitchell Smiley Claimant, and No. 98-02524 Gunn Allen Financial, Inc., Robert Savage, Ellery Moreland and Barton Chase Securities Respondents. REPRESENTATION OF PARTIES Claimant, Carlos Mitchell Smiley, ("Claimant"), represented himself. Respondent, Gunn Allen Financial, Inc. ("Gunn Allen"), was represented by Robert Savage of Gunn Allen Financial,

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Datek Online Brokerage Services Corporation v. Name of Respondent Herng Lung Chai Arbitration No. 98-02520 For Claimant: For Respondent: REPRESENTATION David L. Wales Rosenman & Colin, LLP New York, New York No Appearance CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed: Statement of Answe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lois Larson, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc. and John Joseph Brienza, Respondents Case Number: 00-03134 Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Lois Larson Reginald F. Combs, Esq. ("Claimant") Blanco, Tackabery, Combs & Matamoros, P.A. Winston-Salem, North Carolina For Merrill Lynch Pierce Fenner & Smith, Inc. Mic

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. NASD Case No. 98-02518 Hearing Site: Tampa, Florida Name of Respondent Guy N. Bacon REPRESENTATION OF PARTIES Claimant, Dean Witter Reynolds, Inc., hereinafter referred to as "Claimant"; Michael S. Taaffe, Esq. of Abel, Band, Russell, Collier, Pitchford & Gordon, Chartered, Sarasota, Florida. Respondent Guy N. Bacon, hereinaft

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-02508 First Albany Corporation, claimant vs. Gregg Nourjian, respondent. ATTORNEYS: For Claimant appeared Joseph P. Carmichael, Esq., Salem, MA. Respondent did not respond to the Statement of Claim. DATE_FILED: July 13, 1998 CASE SUMMARY: Claimant alleged that respondent failed to satisfy a margin call, resulting in the sale of shares in his account and ou

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: John Cardamon, (Claimant) vs. Robert W. Baird & Company, et. al., (Respondents). Case Number: 98-02507 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, John Cardamon ("Cardamon"): James R. Marlen, The Law Offices of James R. Marlin, Dallas, Texas. Respondents, Robert W. Baird & Co., Incorporated ("Robert Baird") and Bruce Allen Reed ("Reed"), hereinafter collectivel

N.A.S.D. REGULATION, INC. AWARD CASE: 98-02506 John T. Murphy, claimant vs. Joseph Charles & Associates, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se. - N. Easton, MA. For respondent appeared Todd Stone - Boca Raton, FL. DATE FILED: 7/13/98 CASE SUMMARY: Claimant alleged broker gave factually incorrect information and used inappropriate salesmanship and inappropriate high risk investment recommendations. Claim Data Award Data Claim: $4

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 98-02502 James Haddad, Claimant vs. Smith, Benton and Hughes, Westmark Group Holdings, Inc. and Texas Capital Securities, Respondents. ATTORNEYS: Claimant, James Haddad, ("Claimant"), appeared Pro Se., Plantation, FL. For Respondent, Westmark Group Holdings, Inc. ("Westmark"), appeared Harry C. Coolidge, Esq., Secretary/Corporate Counsel, Capitola, CA. Respondents Smith, Benton and Hu