AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Estate of Ann Isabel Eicher, Richard E. Eicher, and Mary Ann Dunne, Claimants, v. No. 97-03978 Robert G. Lorente, and Mariner Financial Services, Inc. Respondents. REPRESENTATION OF PARTIES Claimants Estate of Ann Isabel Eicher, Richard E. Eicher, and Mary Ann Dunne (collectively referred to as "Claimants") were represented by Anthony V, Tro

STIPULATED AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between; George G. Bezates and Joni A. Bezates, Claimants v. Salomon Smith Barney, Inc., Edward H. Tarbell, and William C. Pack, Respondents. Case Number: 00-02156 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimants, George G. Bezates and Joni A. Bezates, hereinafter collectively "Claimants": William H. Martin, Esq., Gleaves Swearingen Larsen Porter Scott & Smith, LL

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Howard L. Rabe and Gerry Rabe NASD CASE NO. 97-03976 Names of Respondents Joseph Dillon & Company, Inc., Kensington Wells Incorporated, Edwin Lawrence, Adam Drew Levy, Steven Harry Vornea, Elias Tacher, Salvador Tacher, Edward Barry Cohen, William John Velanis and Ronald Allan Furst REPRESENTATION For Claimants: Stephen D. Spivey, Esq., Oc

N.A.S.D. AWARD (BY STIPULATION OF THE PARTIES) NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Fidelity Brokerage Services, Inc., ^ Claimant vs. 97-03973 Veerendra Nandigam M.D., Inc. Pension Plan &. Trust, Veerendra Nandigam, Trustee Nirmala Nandigam, Trustee Respondents REPRESENTATION For Claimant: Robert N. Rapp, Esq., of Calfee, Halter & Griswold LLP, 1400 McDonald Investment Center, Cl

JUN.29.1998 3:01PM NftSD REGULATION FL NO.634 P.6 N,A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Larry Coates & Coates Land Management, Inc. 97-03972 Name of Respondent The Robinson-Humphrey Company, Inc. REPRESENTATION For Claimants: James P. O'Neal, Esq. of the law firm of Bainett, Hanes, O'Neal, Duffee & Garfield, L,L,C, Birmingham, Alabama, For Respondent

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mario Digironimo 97-03971 Name of Respondents Euro-Atlantic Securities, Inc. Vincent A. Padulo, Jr. REPRESENTATION For Mario Digironimo ("Claimant"): Anthony J. Horn, Esq., Philadelphia, PA Respondents Euro-Atlantic Securities, Inc. ("Euro-Atlantic") and Vincent A. Padulo, Jr. ("Padulo") did not appear. CASE INF

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Pulian Zhang and Xiulan Liu 97-03969 Name of Respondent Summit Discount Brokerage REPRESENTATION For Claimants Pulian Zhang and Xiulan Liu ("Claimants") appeared Claimant Pulian Zhang pro se. For Respondent Summit Discount Brokerage ("Respondent") appeared Gerard Hallman of Summit Discount Brokerage located in Whitehall, Pennsylvania. CASE INFORMAT

9 NASD AWARD NATIONAL ASSOCIATION OF SECURITffiS DEALERS, INC. In the Matter of the Arbitration Between Richard Servetnick Claimant NASD Arbitration and No. 95-02330 Cowen & Company Respondent REPRESENTATION OF PARTIES Richard Servetnick ("Claimant") was represented by Joseph P. Stretch, Esq., San Francisco, California. Cowen & Company ("Respondent") was represented by Peter R. Boutin, Esq., Keesal Yoimg & Logan, San Francisco, Califor

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Tucker Anthony Incorporated 97-03965 Name of Respo ident Isaac Belbel REPRESENTATION For Claimant, Tucker Anthony Incorporated ("Claimant"), appeared Patrick J. Howley, Esq., with law offices in New York, New York. Respondent Isaac Belbel ("Respondent") did not appear. CASE INFORMATION The Statement of Claim was filed on August 8, 1997. Claimant exe

NASD AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Charles S. Rann and CASE NUMBER 97-03961 Name of Respondent All Tech Investment Group Southwest Securities, Inc. REPRESENTATION Charles S. Rann ("Claimant") appeared pro-se, For All-Tech Investment Group ("All-Tech") appeared Morgan Bentley, Esq. and Linda Lemer, Esq., General Counsel at All-Tech Investment Group, located in Newark, New Jersey.