Award NASD Regulation, Inc. In the Matter of the Aititration Betvireen Name of Claltinflfir WiUiam A. Oibbs m Case No. 97-05693 Names of Reapondemts Merrill Lynch, Pierce, Fenner & Smidi, Inc. Marion Willis Moore Aim Bowdoin Nermoe Robert Hammett Thome Vicki Holley Wayne Maithi REPRESENTATION OF PARTIES For William A. Gibbs m ("Gibbs"), hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq. and Ethan A. Brecher, Esq. of

I MfiY.26.1998 3842R1 ttfiSD REOJLflTION FL NO.986 P.20 S-.V i' •.V'.! • NA.SJ>. AWARD NASD R^uladon, Idc Otiiee of Dispute Bemlnfion NMneofBeaooadeota For Odmaat: BHhu H. Bemtttt, of Beman & Hobgood, P.A., QearwatM, PI. Statement of Answer filed by ilmpondeats on: My 11, 1997. Chdmant alleged diat Chailes Akar & As'sodatos, mc. andEmil Akat, Account Bxecatiye, wetegtosaly nesligent, and acted witii reckless dlaiegaid of Claimant's best interests when

PPR. Q.iSaS S< 39PM MnSD REGULATION Fl. NO. 195 P.5 N.A.S.O, AWASD fiASa RcgulafStm, Inc. Office of Disjpute 9*6dlvt&m In the l/imea of the ArbitnUion Between MarvbiP. Nodvia Cfanuital A, Co.» LJLC 97-02590 For OaiiBaiit: Pat Budifletton» R, Bsq., and Tetesa Hairis Addas, Bsq. of die law Sm of Dawson ic Hnddlcston, Marietta, Geotgik. For Ra^ondents: Hany D. Fritcfa, Assistant Oeosnil Counsel, Onnital A Co., LX.a CGmatal'). jSttfaneotof Claia

N.A.S.b. RKiil LATION AWARD CASE: 97 02^)33 Ralph G. and Beverly .1. Lindquisi. chiitnant.s v. PaiiioWebber. Inc. and Walter Martin .Maiuiel. re.s|"Hiiulems. ATTORNEYS: Claimants appcaa'd pro .so - Camp Hill. PA. For Respondents appeared Romaine Gardner. Esq. Weehawken. NJ. DATE FILED": 6/12/97 " CASE SL^MMARY: Claimants alleged respondents failed t(' notify them of a special nile that would have allowed them to cliange their position in a call

N.A.S.D. REGULATION AWARB NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02915 Buell Securities Cc»p., claimant vs. Aime Marie Kit^lla, respondent. ATTORNEYS: Claimant appeared Pn> Se, by it's President, Richatd D. Briggs, Wedierefleld, CT. For Respondent, appeared Paul A. Hudon, Esq., of the law firm Adas & Hudon, West Hartford, CT. DATE FILED: June IJ, 1997. CASE SUMMARY: Claiinant alleged that respondent was advised to, and so

NASD Rl-GUl-ATlON. INC. AWARD In the M:uter of the .Nrhitraiion Bctwocn Name of Claimant Lee Chen David Murray Iniran Hussain Investors Associates. Inc. REPRESENTATION Claimant Lte Chen ("Claimant") appeared pro se. For Respondents Investors A-'isociates. Inc. ("Investors .^.ssociatcs"» .uid David Murray I'Murray") appeared Lawrence R. Gelber, E.sij.. in-hciuse courwel tor Invcsiorsi Associates, located in Haekensack. New Jersey. Respondem

NASD REGULATION, INC. AWARD In die Matter of the Art)id:ation Between Margaret DeRosa Hiomas DeRosa 97-02560 Names of Respondents John Sandman First Cambridge Securities Corporation REPRESENTATION For Claimants Margaret DeRosa ("M. DeRosa") and Thomas DeRosa ("T. DeRosa"), hereinafter collectively referred to as "Claimants," appeared Alfred J. Parisi, Esq., a private pmctitioner located in Whitestone, New Yoric. For Respondent John San

NASD REGULATION, INC. AWARD In the Matto* of the ArUtration Between LT Lawrence & Co., Inc. 97-02577 Name of Respondent Benjamin Salmanese For Claimant LT Lawrence & Co., Inc. ("LTL") appeared Rudiann G. Niosi, Esq., of die Law Offices of Rudiann G. Niosi, Esq., PC, located in New York, New York. Respondent Bei^jamin Salmanese ("Salmanese") appeared *'pro se" in this matter. CASE INFORMATION Claunant's Statement of Claim was filed on May 20, 1

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitratton Between Name of Clalmat^t LT Lawrence 8c Co., Inc. Case No. and 97-02578 Name of Respondent Louis Pasciuto REPRESENTATION OF PARTTRS LT Lawrence & Co., Inc. ("Claimant") was represented by Ruth Ann Nosi, Esq. located in New York, New York. Louis Pasciuto ("Respondent") did not appear. CASE INFORMATTON Claimant filed the Statement of Claim on o

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Ry.GULATION. INC. CASE: 97-03030 Olde Discount Corporation, claiinant vs. Patricia A. Mulhall, respondent. ATTORNEYS: For claimant appeared Roberi S. Anderson, Esq. Responds did not ai^ar. DATE FILED: 6/18/97 CASE SUMMARY: Claimant alleged debit balance m account. Claim Data Award Data Claim: $1,092.71 Award: $1,092.71 Interest: Requested Interest: $178.02 Punitive: $.00