Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Ted Singleton Case No. 00-02279 Hearing Site: Atlanta, Georgia Names of Respondents Raymond James & Associates, Inc. Edward Robert Taliaferro REPRESENTATION OF PARTIES For Ted Singleton ("Singleton"), hereinafter referred to as "Claimant": Rosemarie L. Bryan, Esq. and Stephen G. Kabalka, Esq. of Witt, Gaither & Whitaker, P.C., Chattanooga, Tenne

NASD REGULATION. INC AVl'ARD In the Matter of the Arbitration. Between ! ii Name of Claimant i • • • j Charles Gray • Philip Friedman : Carl DeFrietas vs. Case No. 97-04658 Name of Respondents i i Wheat First Securities, Inc. i Robert Cohan ! REPRESENTATION For Claimants Charles Gray ("Gray"), Philip Friedman ("Friedman"), and Carl DeFrietas ("DeFrietas") (collectively "Claimants") appeared Joel M. Leifer, Esq. and Al

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant James Stack Case No. 97-04656 Name of Respondents Advest, Inc. William Devitt REPRESENTATION James Stack ("Claimant") was represented by Edward J. Boyle, Esq. and Peter J. Larkin, Esq. of the law firm of Wilson, Elser, Moskowitz, Edelman & Dicker LLP, New York, New York. Advest, Inc. and William Devitt (collectively "Respondents") were represented b

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04653 Gloria D. Miklowitz, claimant vs. Smith Barney, Inc. and Alan Minter, respondents. ATTORNEYS: Claimant appeared Pro Se, La Canada, CA. For Respondents appeared in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: September 22, 1997. CASE SUMMARY: Claimant alleged that with respect to her investment in Beverly Hills Medical Building Limited Pa

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Donna R. Jones, (Claimant) vs. J.C. Bradford & Co. and James Hunneke (Respondents). Case Number: 97-04652 Hearing Site: Nashville, Tennessee REPRESENTATION OF PARTIES Claimant, Donna R. JonesC'Jones"): Rosemary L. Bryan, Esq., Witt, Gaither & Whitaker, P.C. Chattanooga, Tennesse, Respondents, J.C. Bradford & Co. ("J.C. Bradford") and James Hunneke (" Hunneke"), hereinafter collect

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Frank Mihalevich and Nancy Mhalevich, Claimants, vs. NASD No. 97-04649 Sterling Foster & Co., Inc., Wayne E. Pfeiffer, John Betts, Adam Lieberman, Craig Kellerman, and Frank Monroig, Respondents. REPRESENTATION OF PARTIES Claimants were represented by John J. Miller, Esq., Overland Park, Kansas. On November 3, 1997, Attorney Joseph DElia, Law Offices of Joseph DTEli

NASD REGULATION, INC. AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Herman Witzelhofer Jesus Gonzales v. Name of Respondents Sutro & Co. Stephen Hadaway Arbitration No. 97-04648 For Claimant: For Respondent Sutro & Co.: For Respondent Stephen Hadaway: REPRESENTATION H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California Michael

N.A.S.D. REGULATION, INC. AWARD CASE: 97 - 04646 Ying Shan Tsao and Beverly M. Horn Tsao, JTRS, claimants vs. Arthur Tolendini, Steve Wallace, Michael Demma & Pacific Brokerage, respondents. ATTORNEYS: Claimants appeared Pro Se. - Hacienda Heights, CA. Respondent Arthur Tolendini appeared Pro Se. - Beverly Hills, CA. Respondent Steven Wallace appeared Pro Se. - Los Angeles, CA. Respondent Michael P. Demma appeared Pro Se. - Los Angeles, CA. For resp

NASD REGULATION, INC. AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Peter M. Appleton v. Name of Respondents Shearson, Lehman, Hutton, Inc. Lehman Brothers, Inc. Arbitration No. 97-04644 REPRESENTATION For Claimant: For Respondents: Peter M. Appleton, Esq. Appleton, Pasternak & Pasternak Los Angeles, California David M. Bartholomew, Esq. Keesal,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Sheryl Wilson, Claimant, v. No. 97-04640 J.B. Oxford & Company, and Christopher Lee Congdon, Respondents. REPRESENTATION OF PARTIES Claimant Sheryl Wilson ("Claimant") was represented by Walter L. Baumgardrieri Esq. of Musilli, Baumgardner, Wagner & Parnell, P.C. located in St. Clair Shores, Michigan. l ':::,;:; Respondents J.B. Oxfo