NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Maureen Teresa Carroll 97-03350 Names of Respondents M. J. Whitman, Inc. David Barse REPRESENTATION Claimant Maureen Teresa Carroll ("claimant") appeared pro se. For respondents M. J. Whitman, Inc. ("Whitman") and David Barse ("Barse") (collectively "respondents") appeared Evan Gordon, Esq., a sole practitioner with offices located in New York, New

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Betwpen , Name of Claimant HJ. Meyers & Company, Inc. and 97-03349 Name of Respondent - Third Party Claimant Gary L. Lohse Name of Third Party Respondent Scott Simpson REPRESENTATION OF PARTIES HJ. Meyers & Company, Inc. ("Claimant") was represented by Paul D. Dorger, Esq., Keating, Muething & Klekamp, P.L.L., Cincinnati, Ohio. Gary L. Lohse ("Lohse"or "Respondent") was represe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of .Gaimant Rudee Herzbach Case No. 00-02088 Names of Respondents Muriel Siebert & Co.. Inc. Theodore Charles Embleton HeajJjqg_Site: Boca Roton t Florida REPRESENTATKMjLQF PARTIES For Rudee Hcrzbach ("Herzbach"), hereinafter also referred to as "Claimant"; Russell Silverglate, Esq. of Dickcnson Murdoch Rex and Sloan, Boca Raton, Florida. For Mu

DEC. 15.1998' 9:22fin NflSD REGLLfiTICN FL ^ ^ 0 _ liL*. ol^ P. 29 NASD REGULATION, INC. AWARD NASD Rsjulatio.^.Inc., Office of Dispute Resolution In the Matter of the Arbitration Between ' Names of Claimants Scot: and Diane Spicer NASD CASE NO. 97-03347 Ntmes of Respondents Qlde Dfc count Corp. and Johr. Machado REPRESENTATION For Claimants Scott and Diane Spicer: Allan J, Fedor, Esq. and Franell Fedor, Esq. of Fedor & Fedor,

AWARD NASD Regulation, Inc Michael G. Ringger Patricia A. Ringger Name of Respondent(3) Duke 8c Company, Inc. Brian Frisco Paul Const ant inou, also known as Paul Owens Christopher Markowski Thomas Rensvold Victor Ming Wang Gregg Thaler REPRESENTATION For Claimants: John A. Bender,. Jr., 2sg. , Weiss, Jensen, Ellis EC Howard, Seattle, Washington For Respondent Duke & Company, Inc.; Gregg Thaler, Duke & Company, Inc., New

N.A.S.I3. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03344 Dominick Perrone, claimant vs. Joseph Stevens & Co. Inc., and Antoine Coladonato, respondents. ATTORNEYS: Claimant appeared Pro Se, North Plainfield, NJ. For Respondents appeared William M. Moran, Esq., of the law firm, Bachner, Tally, Polevoy & Misher, New York, NY. DATE FILED: July 7, 1997. CASE SUMMARY: Claimant alleged misrepresentation, ill

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03340 Morris Gates and Ann Gates, claimants vs. Continental Broker Dealer Corp., respondent. ATTORNEYS: Claimants appeared Pro Se, Tyler, TX. For Respondent appeared Vincent A. Delorio, Esq., Purchase, NY. DATE FILED: July 7, 1997. CASE SUMMARY: Claimant alleged that respondent sold his shares of Duracell stock and purchased shares of Company Doctor warran

\ N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03336 - ^ Gregory S. Myers, claimant v. Pushing / Div. of DU Securities Corp., Ryan, Beck & Co. and First Union Corporation, respondents. ATTORNEYS: Claimant appeared pro se - Coconut Creek, FL. For respondent Ryan, Beck and Co. appeared Yuet Wong - West Orange NJ Respondent First Union Corporation is not a member of the NASD and chose not to submit to a

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimants Jacques Clerk Sep. Prop. Trust, Peggy Clerk Sep. Prop. Trust and Kim Moss v. Arbitration No. 97-03333 Name of Respondents Donaldson, Lufkin & Jenrette, Inc. and Ian Kideys REPRESENTATION For Claimants: Jeffrey L. Gaffney, Esq. Law Offices of Jeffrey L. Gaffney San Diego, California For Respondent Donaldson, Lufkin & Jenrette, Inc.: Davi

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Daniel T, Beer 97^03320 of Reondents PaineWebber, Inc. David S. Mann REFRESENtAtlQN For Claimant Daniel T. Beer ("Claimant") appeared Michael F. Bachner, Esq., a sole practitioner with offices located in New York, New York. ; ; For Respondents PaineWebber, Inc. ("PaineWebber") and David S. Mann ("Mann"), (collectively "Respondents' 1 ), appe