NASD Regulation, Inc., Award In the Matter of Arbitration Between Ramesh H. Bhat, MD, Claimant, and No. 97-01980 Sterling, Foster & Co., Inc., VTR Capital, Inc., Adam R. Lieberman, Robert J. Paulson, and Daniel S. Hellen, Respondents. REPRESENTATION OF PARTIES Claimant, Ramesh H. Bhat, MD ("Bhat,") was represented by G. Martin Cole, Esquire of Rothberg & Logan, located in Fort Wayne, Indiana. Respondents, Sterling, Foster & Co., Inc., ("

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between . Name of Claimant Roger L. Anderson and 00-01954 Minneapolis, Minnesota Name of Respondent Morgan Stanley Dean Witter, Inc. REPRESENTATION OF PARTIES Roger L. Anderson ("Claimant") was represented by Joseph W. Anthony, Esq. and Steven M. Phillips, Esq., Anthony Ostlund & Baer, P.A., Minneapolis, Minnesota. Morgan Stanley Dean Witter, Inc. ("Respondent") was rep

AWARD NASD Regulation. Inc. Of!ice of Dispute Resolution In the Matter of the Arbitration Between Neil Morris. Claimant. v. 97-01973 Pioneer Funds Distributor. Inc.. Robert L. Butler, and Stephen W. Long, Respondents. REPRESENTATION OF PARTIES Neil Morris ("Claimant") was represented by John L. Quinn. I:sq., of Nakaniura & Quinn. Birmingham, Alabama. Pioneer Funds Distributor. Inc.f'PFD"). Robert L. Butler("Butler"),and Stephen W. Lo

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants M.R. Beal & Co. MRB Securities Corporation 97-01971 Name of Respondent Alric Benton Nembhard REPRESENTATION For Claimants M.R. Beal & Co. ("M.R. Beal") and MRB Securities Corporation ("MRB"), collectively referred to as "Claimants", appeared John P. DeMaio, Esq., a sole practitioner with offices located in New York, New York. Respondent Alric Bento

NASD REGULATION, INC FINAL ORDER In the Matter of the Arbitration Between of Claimants Mary and Joseph Graniero vs. Names of Respondents Donald F. Weaver CDS Financial Services Inc. Case No. 97-01967 REPRESENTATION For Claimants Mary and Joseph Graniero ("Claimants"), Lisa Ann Enoch, Esq., a sole practitioner with offices in Chappaqua, New York, For Respondents Donald F. Weaver ("Weaver") and IDS Financial Services Inc. ("IDS"),

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Kendall Ankeny Mix Case No. vs. 97-01965 Name of Respondents Advest, Inc. Alexander Brooke Wood REPRESENTATION For Claimant Kendall Ankeny Mix ("Claimant") appeared Gregory S. Mertz, Esq. with law offices located in Burlington, Vermont. For Respondent Advest, Inc. ("Advest") appeared Lucy J. Karl, Esq. of the law offices Shaheen & Gordon located

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. CVC T CASE: 97-01963 Jerome E. Wilhelmson and Sally J. Wilhelmson, claimants vs. Sterling Foster & Co. Inc. and Claudia L, Silver, respondents. ATTORNEYS: Claimant appeared Pro Se, Skokie, IL. For Respondents appeared Gregory M. Curley, Esq., of the Law Offices of Joseph D'EUa, Esq., Huntington, NY, DATE FILED: April 18, 1997. CASE SUMMARY: Claimant alleged misr

AWARD NAftD REGULATION. tNC ff OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant William K. Fujita v. Arbitration No. 97-01960 First Cambridge Securities Corporation REPRESENTATION OF PARTIES William K. Fujita ("Claimant") represented himself, pro se. First Cambridge Securities Corporation ("Respondent") did not appear at the hearing. CASE INFORMATION Claimant's Statement of Claim was file

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Herbert Gelb v, Name of Respondent Pellett Investments, Inc., Brian Alexander Vasiljevich, and Bernie Russell Arbitration No. 97-01959 REPRESENTATION For Claimant: For Respondent Pellett Investments, Inc.: For Respondent Brian Alexander Vasiljevich Herbert Gelb In Pro Per Los Angeles, California Did Not Appear Brian Alexander

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Dr. Michael R. Lewis, Claimant and Counter-Respondent. v. No. 97-01956 Wall Street Discounts, Inc.. Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant Dr. Michael R. Lewis ("Claimant") was represented by Robert J. Kay, Esq. and Robert A. Mich, Jr., Esq. of Kay & Anderson, S.C located in Madison. Wisconsin. Respondent Wall Street