Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Peter Plevrites, Louis Plevrites, Peter Zambos, and Carl Hauser, (Claimants) vs. Duke & Company, Inc., Victor Wang, Charles Bennett, Jeff Honigman, and Gregg Thaler, (Respondents) Case Number: 97-05459 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, John Peter Plevrites ("J. Plevrites"), Louis Plevrites ("L. Plevrites"), Peter Zambos ("Zambos"),

NASD REGULATION, INC. AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Legg Mason Wood Walker, Inc. v. Arbitration No. 97-05458 Name of Respondents John Repstad and John Repstad I/a Warner Management REPRESENTATION For Claimant: Robert A. Scott, Esq. Ballard, Spahr, Andrews & Ingersoll Baltimore, Maryland For Respondents: John Repstad In Pro Per Los Angeles, C

OCT. 5.199S 9=36P)M NRSD REGULATION PL NO.592 P.26 AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Paul Funk and Catherine Funk NASD CASE NO. 97-05456 df Resondents D.L. Cromwell Investments, Inc. and Arthur Alonzo, II REPRESENTATION For Claimants: Mahlon H. Barlow, Esq. and Richard B. Had low, Esq. of Bush Ross Gardner Warren < fc Rudy, P.A.. Tampa, Florida. For Resp

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant David B. Hendricks and Case Number 97-05453 Names of Respondents H.J. Meyers & Co., Inc., James A. Villa, Robert J. Setteducati, William F. Masucci, Michael Bergin, Joseph T. Senefeld, Michael P. Sloan and Brian Walsh REPRESENTATION OF PARTIES David B. Hendricks (hereafter referred to as "Claimant") was represented by Michael G. O'Neill,

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name nf Claimant Kenneth Desio NASD CASE NO. 97-05450 Names of Respondents Smith Barney Inc., Randy Matz and Harold R. Soutier, Jr. REPRESENTATION The Claimant appeared pro se. For Respondents Smith Barney Inc. ("Smith Barney"), Randy Matz ("Matz") and Harold R. Soutier, Jr. ("Soutier"): William A. Hohauser, Esq., Associate General Counsel of Salomon Smith Barney In

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant A.G. Edwards & Sons, Inc. Case No. 00-02358 Name of Respondent Gary Wheeler Plum Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For A.G. Edwards & Sons, Inc. ("AGE") hereinafter referred to as "Claimant": M. Jane Matoesian, Vice President and Counsel, AGE, St. Louis, MO. Gary Wheeler Plum ("Plum"), hereinafter referred to as "Respondent"

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Thomas J. Marquardt, D.D.S., Claimant, v. No. 97-05448 A.G. Edwards & Sons, Inc., and Stephen J. Smith, Respondents. REPRESENTATION OF PARTIES Claimant Thomas J. Marquardt, D.D.S. ("Claimant") was represented by Walter F. Ehrnfelt, Esq. and Amy L. Woodhall, Esq. of Waldheger, Coyne & Associates located in Westlake, Ohio. Respondents A.G. Edwards & Sons, Inc. ("A.G. Edwa

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimants MT Partners and Jim Faroquee v. Name of Respondents West America Securities Corp., Robert Kay, and Correspondent Services Corporation, Inc. Arbitration No. 97-05445 REPRESENTATION For Claimants: For Respondents West America Securites Corp. and Robert Kay: For Respondent Correspondent Services Corporation, Inc.: Arthur S. Leider

wv.a4.i9ga- £:06PM . WSD ^^ FL NO.409 p.17 N.A.S.D. REGULATION, fNC. AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between | i ' Name of Claimant . | i Joseph A. Ciero I i 97-05444 ! Names of Ifesoondents I Atwood Kent Securities ffk/a Atlantic Arrow I Securities and Merrill DUon ; REPRESENTATION For Claimant: Steven A. Feinman, Esq., Davie, Florida. For Res

NASD REGULATION, INC. AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Robert Slade v. Name of Respondents Todd Barlow Donald & Co. Securities Arbitration No. 97-05442 REPRESENTATION For Claimant: For Respondents: Statement of Claim filed: Jeffrey W. Tock, Esq. Harrington, Porter. Ermentroot & Tock Champaign, Illinois Melanie R. King, Esq. Gall