AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between SunTrust Securities. Inc. and SunTrust Bank. Nashville. N.A. Claimants. and No. 97-03666 Michael Shea, and J..1.B. Milliard and W.L. Lyons, Inc., Respondents. REPRESENTATION OF PARTIES Claimants. SunTrust Securities. Inc.f "SunTrust")and SunTrust Bank. Nashville. N.A. ("the Bank"), were represented by Stephen H. Price. F.squire of Farris. War ft

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Anthony A. Branca GMSF Holdings, Ltd. Yuly Aronson May Industries, Ltd. 97-03662 Name of Respondents Marlowe & Company Alan Berkun James A. Mayer, Jr. William J. Walker Alfred A. Napolitano REPRESENTATION For Anthony A. Branca ("Branca"), GMSF Holdings, Ltd. ("GMSF"), Yuly Aronson ("Aronson"), and May Industries Ltd. ("May") (collec

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 97-03661 Louis W. Siani, Claimant vs. Joseph Roberts & Co., Respondent. ATTORNEYS: Claimant appeared Pro Se, Staten Island, NY. Respondent did not respond to the Statement of Claim. DATE FILED: July 24, 1997 CASE SUMMARY: Claimant alleged that transactions made by Respondent were made without his knowledge or approval. ARBITRATOR'S REPORT: Judgement for Claimant finding he does no

N.A.S.D. REGULATION, INC. AWARD CASE: 97 - 03654 Jeanne Clemson, claimant vs. Dean Witter Reynolds, Inc., respondent. ATTORNEYS: For claimant appeared Lonnie K. Browne, Esq., - West Palm Beach, FL. For respondent appeared Bradford D. Kaufman, Esq.. - West Palm Beach, FL. DATE FILED: 7/24/97 CASE SUMMARY: Claimant alleged negligent, intentional misrepresentation, common law fraud, breach of fiduciary duty, negligent supervision and violation of state & f

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant Jackie E. Dyer Names of Respondents J. C. Bradford & Co. John Thomas Mills, Jr. Case No. 00-02132 Hearing Site: Charlotte, North Carolina For Jackie E. Dyer, hereinafter referred to as "Claimant": Edward T. Hinson, Jr., Esq. and Fred B. Monroe, Esq., James, McElroy & Diehl, P.A., Charlotte, North Carolina. For J.C. Bradford & Co. ("J

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Antoinette Deceder Sandra But'alini Daniel Deceder Denise Deceder 97-03646 Name of Respondents J.W. Charles Clearing Corporation Sunpoint Securities, Inc. REPRESENTATION For Claimants Antoinette Deceder, Sandra Bufalini, Daniel Deceder and Denise Deceder (collectively "Claimants") appeared Steven B. Larchuk, Esq. of the law offices of Malone,

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Marcelta Pac Matthew Pac 97-03645 Name of Respondents Ferris, Baker Watts, Inc. David Pac Ralph Abalio REPRESENTATION OF PARTIES Claimants Marcella Pac and Matthew Pac (collectively "Claimants") were represented by Andrew H. Wilson, Esq., Wilson Campilongo, LLP, San Francisco, CA and Morris J- Levin, Esq., Attorney at Law, Washington, DC. R

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Keith LaBella 97-03644 Name of Respondents Sherwood Securities Corp. Brian Gerard Reilly James Matthew Moraller Christopher Robert Jadro Peter Paul Dionisio National Discount Brokers Seth Rosen Kathleen Krol Tracy Bannon REPRESENTATION For Claimant Keith LaBella ("LaBella") appeared Brian K. Gallagher, Esq., a sole practitioner w

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC CASE: 97-03636 Seymour Himelstein, claimant v. Harold Klumbach, respondent. ATTORNEYS: Claimant appeared pro se - Merrick, NY. Respondent appeared pro se - New York, NY. DATE FILED; 7/23/97 CASE SUMMARY: Claimant alleged unauthorized trade of common stock. Claim Data Award Data Claim: $9,991.00 Award: $.00 Punitive: $.00 Punitive: $.00 Atty Fees: $.00 At

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Anthony Ayeni Pamela Hinkson-Ayeni v. Name of Respondentfs) Fidelity Brokerage Services, Inc. Arbitration No. 97-03633 REPRESENTATION For Claimants: For Respondent: Anthony Ayeni, Esq. Walnut Creek, California Diane L. Gibson, Esq. Graham & James San Francisco, California CASE INFORMATION S