/// N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02644 Janney Montgomery Scott, Inc., claimant vs. Old Cutler Capital Management and Joel D. Kamener, respondents. ATTORNEYS: Claimant appeared Pro Se, through its Vice President, Jerome J. Murphy, Philadelphia, PA. Respondents did not respond to the Statement of Claim. DATE FILED: May 27, 199?! CASE SUMMARY: Claimant alleged that respondents purcha

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02642 Geraldine M. Smith, claimant v. James L. Rooney and Melvin D. Ratcliff, respondents. ATTORNEYS: Claimant appeared pro se - Vero Beach, FL. For Respondents appeared George D. Sullivan, Esq. - Sarasota, FL. DATE FILED: 5/27/97 CASE SUMMARY: Claimant alleged: misrepresentation; unsuitability and unprofessional behavior. Claim Data Award Data , ;;,)u

. L NASD AWARD - NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Kim J. Zuber, IRA Kim J. Zuber 97-02640 Name of Respondent Meyers Pollock Robbins, Inc. REPRESENTATION Claimants Kim J. Zuber, individually, and Kim J. Zuber, as the owner of the Kim J. Zuber IRA {collectively, "Claimants"), were represented by William S. Levinson, Esq., of the law firm of Culley, Marks,

NASD REGULATION, INC, AWARD In the Matter of the Arbitration Between Name of Claimants Andrew Ougheltree d/b/a Nashman & Associates Nancy McDowell Case No. vs. 97-02639 Name of Respondents Meyers Pollock Robbins, Inc. Bear Stearns Securities Corp. John Calabria William Pumphret REPRESENTATION For Claimants Andrew Ougheltree d/b/a Nashman & Associates ("Ougheltree") and Nancy McDowell ("McDowell") (collectively "Claimants"), S

NASD, REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Robert Weaver Robert Weaver d/b/a Mill Street Auto 97-02638 Name of Respondents Richard S. Scafidi, Jr. Louis G. Oleari Richard C. Pay son James B. Hanley Financial Securities Network, Inc. Robert Fresard Greg R. Stuart G.R. Stuart and Company, Inc. REPRESENTATION For Claimant Robert Weaver, individually and as d/b/a for Mill Stree

aupuuucu NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Edward A. Siedle Case No. 00-02012 Name of Respondent Ashland Global Securities, LLC REPRESENTATION OF PARTIES For Edward A. Siedle ("Siedle"), hereinafter referred to as "Claimants": Marc J. Gottlieb, Esq., Akerman, Senterfitt & Edison, P.A., Fort Lauderdale, Florida. For Ashland Global Securities, LLC ("Ashland"), hereinafter referred to as "Re

AWARD NASD Regulation, Inc. Office of Dispute Resolution In "the Matter of the Arbitration Between f Claimant • William Michael Curnow and Jane Curnow •97-02635 Name of Respondents Legg Mason Wood Walker, Inc. Robert P. Friedman REPRESENTATION Claimants William Michael Curnow and Jane Curnow {" Claimants") were represented by David C. Harrison, Esq., Philadelphia, PA. Respondents Legg Mason wood Walker, Inc . ( "LMWW" ) and Robert P . Fr

NASD REGULATION, INC. AWARD 97-02633 In the Matter of the Arbitration Between Name of Claimant Joseph Feldman Diane Feldman Name of Respondents Alan Halpert Barry Pomp Jeffrey Halpert Daniel I.ennon Matthew Cohen REPRESENTATION For Claimants Joseph and Diane Feldman ("Claimants") appeared claimant Joseph Feldman pro se. For Respondents Alan Halpert ("A. Halpert"), Jeffrey Halpert ("J. Halpert") and Matthew Cohen ("Coh

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant(s) Harral C. Higginbotham Name of Respondent Cs) J.S. Securities, Inc. Arbitration No. 97-02631 REPRESENTATION For Claimant: Harral C. Higginbotham, Walla Walla, Washington For Respondent: Jeffrey S. Szur, J.S. Securities, Inc., Point Pleasant Beach, New Jersey CASE INFORMATION Statement of Claim filed: May 21, 1997 Supplement to Statement o

7 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Eugene Palumbo, Eugene Palumbo IRA, Gene Palumbo Incorporated Employee Retirement Trust 97-02630 Names of Respondents A.G. Edwards & Sons, Incorporated, Gruntal & Company, Incorporated, Murray Albert Robinson REPRESENTATION For Claimants: Robert G. Haile, Jr., Esq. of Fleming, Haile & Shaw, P. A., North Palm Beach, FL. For Respon