NASD AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Meadowbrook Cardiology Money Purchase Plan Case No, 97-05323 Name of Respondents Oppenheimer & Co., Inc. William L. Leventon REPRESENTATION William S. Haaz, M.D., Trustee of Meadowbrook Cardiology Money Purchase Plan (herein referred to as "Claimant") was represented by Glenn S. Gitomer, Esq. of the law firm of McCuasl

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Sam Fuchs 97-05319 Name of Respondents Bert Warren Securities of Westchester, Inc. REPRESENTATION Claimant Sam Fuchs ("Fuchs") appeared pro se. For Respondents Bert Warren ("Warren") and Securities of Westchester, Inc. ("Westchester"), collectively "Respondents", appeared Michael G. Shannon, of the law offices of Philip, Lytle, Hitchcock, Blaine & H

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05318 John Zweigart, claimant vs. Lexington Capital Partners & Co. Inc., Salvatore Martorano, Janson Nonnenmacher and John Kawas, Jr. respondents. ATTORNEYS: Claimant appeared Pro Se. - Coram, NY. For Respondents appeared Charles M. O'Rourke, Esq. - Garden City, NY. DATE FILED: 11/10/97 CASE SUMMARY: Claimant alleged respondents failed to inform him about

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Joan Schiff Case No. vs. 97-05316 Name of Respondents Herzog, Heine & Geduld, Inc. Ermete Torregrossa REPRESENTATION For Claimant Joan Schiff ("Claimant"), Simon S. Kogan, Esq. of Kogan & Associates, LLC located in New York, New York. For Respondents Herzog, Heine & Geduld, Inc. ("Herzog. Heine") and Ermete J. Torregrossa, Jr. ("Torregrossa") (c

AWARD NASD Regulation, Inc. In the Matter of Che Arbitration Between Name of Claimant John H.R. Goings 97-05309 Name of Respondent Duncan Williams, Incorporated In the Matter of the Arbitration Between Name of Claimant E.B. Fox 98-00007 Name of Respondent John H.R. Goings REPRESENTATION For John H.R. Goings ("Goings"): Jeffrey C. Smith, Esq. of Borod & Kramer, P.C., Memphis, TN. For E.B. Fox ("Fox") and Duncan Wil

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Sean Gillespie and 97-05308 Name of Respondent John G. Kinnard and Company, Inc. REPRESENTATION OF PARTIES Sean Gillespie ("Claimant") was represented by John W. McKendree, Esq., Denver, Colorado. John G. Kinnard and Company, Inc. ("Respondent") was represented by Marko J. Mrkonich, Esq., Littler Mendelson, P.C., Minneapolis, Mi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Estate of Helen M. Richardson, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Inc. (Respondent) vs. Mary Helen Richardson and Harry A. Richardson (Third-Party Respondents) vs. Helen Louise Duffy, Rosemary R. Cotter, and H. Andrew Hurley (Fourth-Party Respondents) Case Number: 97-05307 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, The Estate

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant AJi Malihi vs. Case No. 97-05306 Name of Respondents PaineWebber, Inc. James R. Simcoke John Borgese REPRESENTATION OF PARTIES Claimant, Ali Malihi, hereinafter referred to as ("Claimant") was represented by Michael Unger, Esq., of the law firm of Rubin and Rudman LLP, Boston, MA. Respondents, PaineWebber, Inc. ("PaineWebber"), James R. Simcoke ("Si

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants George and Terri Ann Cressman vs. 97-05305 Name of Respondent Meyers Pollack Robbins, Inc. REPRESENTATION Claimants George and Terri Ann Cressman ("Claimants') were represented by Anthony J. Horn, Esq., Philadelphia, Pennsylvania. Respondent Meyers Pollack Robbins, Inc.("Respondent") did not appear. CASE INFORMATION Claimants' Statement of Claim wa

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Walter B. Brill Walter B. Brill Revocable Trust and 97-05304 Minneapolis, Minnesota Name of Respondents Dougherty Summit Securities, LLC RJ Steichen & Company Marche' Securities, Inc. Miles Usher Braufman REPRESENTATION OF PARTIES Walter B. Brill and Walter B. Brill Revocable Trust ("Claimants") were represented by Kevin D. Hoftnan,