*SOV.30.199S 10:570M WSD REGULATION PL m>786 pg NASD REGULATION, INC, AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Name of Cla|mant Harold Weber 97-05679 Names of Respondents, Roan Capital Partners L,P. Thomas D. Sullivan REPRESENTATIQN For Claimant: George C. Freeman, HI, Esq, of the law firm of Stone, Pigman, Wittman & Hutchinson, L.L.P., New Orleans, Louisiana. For Responde

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Bear Stearns & Co., Inc. 97-05677 Name of Respondent First Southeastern Securities Group, Inc. Names of Third-Party Respondents John Shapiro Philip Haluska REPRESENTATION For Claimant Bear Stearns & Co., Inc. ("Bear Stearns"): Peter W. Schneider, Esq. of the law firm of Rogers & Hardin, Atlanta, Georgia. For Respondent First Southeastern Securit

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Richard V. Robins Case Number vs. 97-05676 Name of Respondents Monroe Parker Securities Ken Engelbourg Thomas E. Christensen Alan S. Lipsky Bryan J. Herman Jeffrey R. Logel Alexei K. Lee Ralph Angeline ADL Holding Company REPRESENTATION For Richard V. Robbins ("Claimant") appeared Mark J. Krudys, Esq., Richmond, Virginia. Tho

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00054 ANAKD In Che Matter of the Arbitration Between Alonzo & Joyce Hamby Marion F. Hamby & Lilia Hamby Legan Marion F. & Bonnie L. Hamby Claimants vs. Smith Barney Harris Upham & Co., Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 7, 1992, Alonzo & Joyce Hamby. Marion F. Hamby and Lilia Hamby Legan, Marion

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Thomas J. Amann (Claimant) vs. Robert L. Tucker, Alan Mandel, J.B. Oxford & Go. and Cortlandt Capital Corporation (Respondents). Case Number: 97-05673 Hearing Site: Nashville, TN REPRESENTATION OF PARTIES Claimant, Thomas J. Amann ("Claimant") represented himself. Respondents, Robert L. Tucker ('Tucker") and Cortland Capital Corporation did not appear. Respondent Alan Mandel ("Man

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Tineke Tellier, Claimant vs. Gerald Burchard, Burchard Investment Management and Round Hill Securities, Inc., Respondents. Case Number: 97-05667 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Tineke Tellier, hereinafter referred to as "Claimant": Paul J. Matzger, Esq., Leland, Parachini, Steinberg, Matzger & Melnick, LLP, San Francisco, California Resp

DEC.19.1996 ' l:07PM NftSD REGULATION FL NO.754 p.35 AWARD NASD Regulation, Inc. In Che Matter of the Arbitration Between Kant; of Claimant David A., Dugan NASD CASE NO. 97-05663 Name of Respondent Aragon Financial Services, Inc. REPRESENTATION For Claimant Jeffrey P. Coleman, Esq. of Jeffrey P. Coleman, P.A., Clearwater, Florida. For Resjfcndent: Scott L. Wariman, Esq, of Scott L. Warfman, P.A., Miami, Florida. CASE INFORMATION Stat

N.A.5.D. AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Richard end Dorothea Covey 97-05662 o espondents Aragon Financial Services, IDC. Thomas Cannon Kanyn J. Weaver For Claimants; Jeffrey P. Coleman, Esq., dear-water, FL. For Respondent Aragon Financial Services, Inc.: Scott L, Warfman, Esq., Miami, FL. Responded Thomas Cannon appeared pro se. Respondent Karryn J. Weaver appealed pro

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Sol Suchman Case No. vs. 97-05652 Name of Respondents L.T. Lawrence & Co., Inc. Joseph Verdino Anthony Scala REPRESENTATION For Claimant Sol Suchman ("Claimant") appeared Charles Suchman, Esq. a sole practitioner with offices located in New City, New York. For Respondent L.T. Lawrence & Co., Inc. ("LTL") appeared Ruthann G. Niosi, Esq. a sole

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02404 Wall Street Access, Claimant vs. Douglas Carter, Respondent. ATTORNEYS: For claimant, Wall Street Access, ("claimant"), appeared Denis P. Kelleher, Esq., of the firm of Kelleher, Leone & Schwartz LLP, New York, NY. Respondent, Douglas Carter, ("respondent"), did not respond to the claim. DATE FILED: June 7, 2000. CASE SUMMARY: Claimant alleged that respondent accrued a debit