NASD Regulation, Inc. Award In the Matter of Arbitration Between Linda Clinkenbeard Moore and Gaylin Clinkenbeard, Claimants, and No. 97-01711 Gruntal & Co., Inc., High Yield Management Securities, Inc., National Financial Services Corporation, Bear Stearns Securities Corporation, Inc., Doug Getzke, M.J. Whitman, Inc., Robert Murphy, Philip Jonathon Eitman, Kenneth Eitraan, and Steven Eitman, Respondents. REPRESENTATI

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Legg Mason Wood Walker, Inc., (Claimant) vs. William Morris, (Respondent) Case Number: 97-01709 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Legg Mason Wood Walker, Inc., hereinafter referred to as "Claimant'*: Donald J. McCartney, Esq., Law Offices of Donald J. McCartney, Columbia, MD. Respondent, William Norris, hereinafter referred to as "Responde

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between o Claimant Ryan Riley 97-01706 Name of Respondents Smith Barney, Inc. (n/k/a Salomon Smith Barney, Inc.) John Rosenstern Samuel Robb REPRESENTATION Claimant Ryan Riley ("Claimant") was represented by Steven M. Reinsel, Esq., of the law firm of Santoro & Reinsel, LLC, Pittsburgh, PA. Respondents Smith Barney, Inc. ("Smith Barney"), J

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Brian Nash vs. 97-01703 Name of Respondents First United Equities Corp. Douglas K. Traynor Jonathan D. Winston REPRESENTATION For Claimant: John S. Barr, Esq., McGuire Woods Battle & Boothe, Richmond, Virginia Respondents First United Equities ("FUE"), Jonathan D. Winston ("Winston") and Douglas Traynor ("Traynor") did not appear. CASE INFORMATI

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01701 David J. Hochstadt, claimant v. David Lavender, respondent. ATTORNEYS: Claimant appeared pro se - Miami, FL. Respondent appeared pro se - New York, NY. DATE FILED: 4/3/97. CASE SUMMARY: Claimant alleged unauthorized trading, negligence and misrepresentation. Claim Data Claim: $7,500.00 Interest at 5% per year compounded quarterly from Mar

AWARD NASD REGULATION. INC r OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Zlatko Gvozdenovic Lynne M. Gvozdenovic v. Name of Respondent(s) Joseph Roberts & Co., Inc. The Hamilton-Shea Group, Inc. Christopher Lemaich Arbitration No. 97-01699 REPRESENTATION For Claimants: Steven M. Sherman, Esq. San Francisco, California For Respondent Joseph Roberts & Co., Inc: No ap

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Robert Simmen, IV 97-01698 Name of Respondents Lehman Brothers, Inc.; Don Dalis REPRESENTATION For Claimant: Robert Simmen, IV ("Simmen") was represented by Aron D. Robinson, Esq. of Robert A. Holstein & Associates, located in Chicago, Illinois. For Respondent: Lehman Brothers, Inc. ("Lehman") and Don Dalis ("Dalis") were r

NASD REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Helen N. Jones 97-01687 Name of Respondents Smith Barney, Inc. (n/k/a Salomon Smith Barney, Inc.) Forney Longenecker REPRESENTATION Claimant Helen N. Jones ("Claimant") was represented by Richard Crisona, Esq. and Richard Schwartz, Esq. of the law firm Crisona & Schwartz, LLP of New York, New York. Respondent

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Lawrence Mendosa 97-01686 Name of Respondents Cohig & Associates, Inc. Jack Emerick, III REPRESENTATION For Claimant Lawrence Mendosa ("Claimant") appeared John J. Blanchard, Esq., a sole practitioner with offices located in Montvale, New Jersey, For Respondents Cohig & Associates, Inc. ("Cohig") and Jack Emerick, III ("Emerick") (collectively referred

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John W. Murphy, (Claimant) vs. LCP Capital Corp., Anthony Joseph Aliotta, Silver Capital Corp., Joseph Ferragamo, Shamrock Partners, Ltd. and James Kelly, (Respondents) Case Number: 00-01913 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, John W. Murphy, hereinafter referred to as "Claimant": William C. Athanas, Esq., Donoghue, Barret & Singal, P.C., Bo