-NOV.E4.1998 a:05PM NftSD REGULATION FL NO,409 P.13 NASD REGULATION, INC. AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Narnes of Claimants The Jetty D, Weaver Delaware Charter IRA Jerry D. Weaver 97-05855 Barron Chase Securities, Inc. Stephen Lennox, Jr. iTti For Claimants: L Pat Sadler, Esq. of the low firm of Sadler & Associates, P.C., Atlanta, Georgia. I I For Respondent Ba

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Lornian Marketing, Ltd. 97-05854 Name of Respondent Meyers, Pollock, Robbins, Inc. REPRESENTATION For Claimant Lornian Marketing, Ltd. ("Claimant") appeared Harry H. Wise III, Esq. with law offices in New York, New York. Respondent Meyers, Pollack, Robbins, Inc. ("Respondent") did not enter an appearance in this matter. CASE INFORMATION Claiman

ion, Inc. In the Matter of the Arbitration Between: Louisa Esposito, (Claimant) vs. Donald & Co. Securities, Inc. and OttoKozak, (Respondents) Case Number: 00-02595 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Louisa Esposito, hereinafter referred to as "Claimant": Deidre S. Venables, Esq., a sole practitioner, Southampton, NY. Respondent, Donald & Co. Securities, Inc. ("Donald"): Barbara Bennett, Esq., Director, Legal, Donald &

NOV/-23-99 10 = 08 FROM«NASD REGULATION ID= PAGE 2/8 NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name < tf Claimant Steven K. Riemer, Trustee FBO Riemer Profit Sharing Trust and 97-05853 Name of Respondents Gruntal & Co., Inc. David LeFort REPRESENTATION QF PARTIES For Claimant Steven K. Riemer, Trustee FBO Reimer Profit Sharing Plan ("Claimant") appeared C. William Hoilman of MHA Financial Corp. For Responden

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Ramnarance Maharaj, Parbatie Maharaj Mark Barone Case No, vs. 97-05852 Name of Respondents Gruntal & Co., Inc. David Rajpatty REPRESENTATION For Claimants Ramnarance and Parbatie Maharaj ("Maharajes") and Mark Barone ("Barone") (collectively "Claimants"), Evan S. Zimmermann, Esq. located in New York, New York. For Respondent Gruntal & Co., Inc.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name nf Claimant Stephen Robert Mitchell NASD CASE NO. 97-05847 Names of Respondents First Southeastern Securities Group, Inc. and Peter Emmanuel REPRESENTATION For Claimant: Joel M. Leifer, Esq. of Joel M. Leifer & Associates. New York, New York. For Respondent First Southeastern Securities Group, Inc. ("FSSG"): Burton W. Wiand, Esq. of Fowler, White, Gillen, Boggs, Vi

-132 p.35 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name ofClaimant Joseph W. Denting, IH 97-05844 Names Joseph Roberts & Company, Inc. Joseph F. DeSanto Robert B. DiMarco Michael E. Knight John A. Kim, Jr. For Claimant; Frank L. Watson, III, Esq. of Baker, Donelson, Bearmen & Caldwell, Memphis, TN. Respondent Joseph Roberts & Company, Inc. ("Roberts 14 ) did not appear. Respondents Jose

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert Curry. Trustee FBO The Curry Family Trust dated November 8, 1990, Claimant v. Joseph Vidal, Joseph Principe, Darnel] Deans, John R. Heldring, Stephen Brown Edds, James Villa. Robert J. Setteducati, Rex F. Carlson, Michael Allen Bresner. J. Bernard LoVerde, Robert Gerstein, Kenneth Adam Orr, Michael Lee Metier. Bear Sterns Securities Corp., Dano Noor. Sr, Mayer Da

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-05839 Aegis Investments, Inc., claimant vs. Patrick J. O'Neil, respondent. ATTORNEYS: For Claimant appeared Linda Ingle - Minneapolis, MN. Respondent appeared pro se - Minneapolis, MN. DATE FILED: 12/16/97 CASE SUMMARY: Claimant alleged that, pursuant to an Account Agent Agreement, the respondent was liable for damages suffered by the claimant as the resul

. 17. 1999 .ir.iTOj - NO. 209 P. 37 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant A. V. Beardsley, m 97-05836 Names of Respondents Morgan Keegan & Company, Inc. Third Party Respondents Raney Securities Compiny Raney and Beardsley, Inc. Thomas D. Raney TJ. Raney and Associates, Inc. REPRESENTATION For Claimant A, V. Esardsley, IH ("Beardsley"): John E. Pruniski, m, Esq. of Hilbur