NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Bijou II Corp. vs. Case No. 97-03801 Name of Respondents Harriman Group, Inc. Corey Singer John Simonetti John Bosco Tom Fede Frank Casillo REPRESENTATION For Claimant Bijou II Corp. ("Claimant") appeared Chase Caro, Esq. of Caro & Associates, P.C., located in New York. Respondent Harriman Group, Inc. ("HGI") did not enter an appeara

NASD REGULATION, INC. AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Marshall Field, CLAIMANT v. Arbitration No. 97-03800 Terry Tyler, Ed O'Donnell, Mike Ladiana and United California Securities, Inc. RESPONDENTS, COUNTER-CLAIMANTS AND THIRD PARTY CLAIMANTS v. Spectrum Securities, Inc. and Donald G, Brooks THIRD PARTY RESPONDENTS REPRESENTATION For Claimant: For Responde

' OCT. 17. 1998 5=22PM NASD REGULRTION FL NO. 984 P. 33 N.A.S.D. AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between i i Name of Claimant James Graham 97-03798 Names of Respondents Richard Skinner Northeast Securities, Inc. Quest Capital Strategies, Inc. REPRESENTATION For Claimant James Graham ("Graham"): Lonnie K. Martens, Esq. of Davis, Gordon, Doner & Chandler, P. A.. West Palm B

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. i * CASE: 97-03797 Tom P. Siuda and Marsha Siuda, claimants vs. Jeff Schuster, respondent. ATTORNEYS: Claimants appeared Pro Se, Charlotte, NC. Respondent Jeff Schuster (Shuster) appeared Pro Se, New York, NY. DATE FILED: August 1, 1997. CASE SUMMARY: Claimant alleged that respondent bought Emerson Radio stock and Kaye Kotts warrants, and sold IVAX stock, witho

AWARD i ( NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Kanao Takeoka v. Arbitration No. 97-03796 Name of Respondents Quantum Group, Ltd. (f/k/a J. P. Milligan, Inc.), John P. Milligan, Edward C. DeFeudis, John M. Black, J. S. Securities, Inc., Jeffrey S. Szur, and Nathaneal Smith REPRESENTATION For Claimant: John E. Ohashi, Esq. Ohashi & Priver E

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Texas Capital Securities, Inc. and Michael E. Watts, (Claimants) vs. Erin Oil Exploration, Inc., Bill Knollenberg, Ron Bearden and R. F. Bearden Associates, (Respondents) vs. Michael McGinnis, Patrick Smetek, Albert Bowers, Thomas Recking, Thomas Buckley, David Jamail, Kenneth Cunningham, Stephen Reckling, David Smetek, Jerry Anderson and Donald Tallman, (Third-Party Respondents). Cas

NASD REGULATION, INC. , AWARD In the Matter of the Arbitration Between Name of Claimant Legg Mason Wood Walker, Inc. 97-03791 Name of Respondents Richard C. Arrighi Richard C. Arrighi C/F Rachel Arrighi Richard C. Arrighi C/F Ryan Joseph Arrighi Name of Third Party Respondent Joseph DeNicola REPRESENTATION For Claimant Legg Mason Wood Walker, Inc. ("Legg Mason") and Third-Party Respondent Joseph DeNicola ("DeNicola") appeared Rob

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimants Malcolm Cook, Sally Cook, and Cook Communications Group v. Name of Respondents GKN Securities Corp., Fenton Turck, O. Carl Wiseman, David Nussbaum, Roger Gladstone, Robert Gladstone, Richard Buonocore, Vincent Bruno, David Greenberg, and Jay Berkman Arbitration No. 97-03785 REPRESENTATION For Claimants: For Respondents GKN Securitie

NASD REGULATION, INC. AWARD In the Matter of the Vbitration Between Name of Claimant Robert E. Elkins 97-03778 Name of Respondents Investors Associates Inc. David Reynolds, III REPRESENTATION Claimant Robert Elkins ("Elkins") appeared pro se. Respondent Investors Associates Inc. ("Investors") and Respondent David Reynolds, III ("Respondent Reynolds") did not enter an appearance at the hearing. CASE INFORMATION Elkins' Statement o

NASD Regulation, Inc. Award In the Matter of Arbitration Between Rauscher Pierce Refsnes, Inc., Claimant, and Case No. 97-03773 Ian Goldfoot, Respondent. REPRESENTATION OF PARTIES Claimant, Rauscher Pierce Refsnes, Inc., ("RPR") was represented by Dinah Bass, Esquire, of Munsch Hardt Kopf Harr & Oman, located in Dallas, Texas. Respondent, Ian Goldfoot ("Goldfoot") was represented by Karen R. Dow, Esq. of Carrington, Lapin, Landa & Wilde, LLP