N.A.S.D. BJSGULATION AWARD ASSOCIATN O fES DEAIJ-&SREGULTION. IXC. CASE: 97-01195 Carol t>. Grimes, claimant v, Merrill Lynch Pierce Fenner & Smith Inc, Forrest D. Smith, Thomas KZucsarits, and Kurt Nielsen , respondents. ATTGIIKEYS: Claimant Beared pro se - Marco Island. FL For Respondents appeared Mark Ryan, Bsq, - New York, NY DATE;HLBE>; March :o, 1997 CASE SUMMARY; Claimant alleged failure to supervise, misrepresentation of cost, product an

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Thomas Tierney, Claimant, v. No. 97-01192 Sterling Foster & Company, Inc., Adam R. Lieberman, Frank J. Monroig, and Adam Rodman, Respondents. REPRESENTATION OF PARTIES Claimant Thomas Tierney ("Claimant") was represented by William T. McCartan, Esq. and Donald G. Thomson, Esq. of Bradley & Riley, P.C. located in Cedar Rapids, Iowa. R

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Mailer of the Arbitration Between Name of Claimant Noel R. Shahan Trust and 47-01189 Name of Respondent Larry P. Staley REPRESENTATION OF PARTIES Noel R. Shahan Trust ("Claimant") was represented by Richard G. Himelrick. Esq., Tiffany & Bosco. Phoenix. Arizona. Larry P. Staley ("Respondent") was represented by David R. Jordan. Esq.. of Titus. Brucckner£ Berry, Scottsdale. Ar

NASD Arbitration No. 95-04573 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITTKS DEALERS. INC, In the matter of the Arbitration Between NamR of Claimant(s^ Stephen E. Block and Dale F. Block, Trustees for the Stephen E. Block and Dale F. Block Charitable Remainder Trust Nams of Respondent!s) Bancal Investment Services, Inc. Robert Linton Karen Bruner REPRESEMTATION For Claimants: Stephen E. Block, Moraga, California

OCT.25.1998 5:0CFM NflSD REGULftTION FL NO.651 P.23 NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Nama of Claimant Dao Le Case No. 97-01167 Names of Respondents Investors Associates, Inc. Darin Haines William Cutrone OF ARTlES For Claimant Mark J. Bryn, Esq. of the law firm of Bryn & Associates, Miami, Florida. For Respondent Investors Associates, Inc. ("Investors"); Lawrenc

ARBITRATION AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Harold Neuman and Grace Neuman 97-01185 Name of Respondents J.W. Barclay & Co., Inc.; Douglas Spinosa; Bruce Gmahle, Jr. REPRESENTATION For Claimants: Harold Neuman and Grace Neuman ("Neuman") were represented by Steve Samson, Esq. of the Law Offices of Steve Samson, located in Evanston, Illinois. For Respo

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Hazel C. Harrelson v. Arbitration No. 97-01183 Name of Respondent Del Mar Financial Services, Kevin Dills and Anthony Jabin REPRESENTATION For Claimant: Hazel C. Harrelson In Pro Per Sunland, California For Respondents Del Mar Financial Services R. Craig Zafis, Esq. and Kevin Dills: Urquhart, O'Dorisio & Wedell

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Michael A. Ingenito. Jr. Name of Respondents Janney Montgomery Scott Inc. Irwin Jules Forman Rudolph Sander 97-01179 REPRESENTATION For Claimant: For Respondents: Alan Jay Ackerman, Esq. Ocks and Barsky Villanova, PA Paula D. Shaffner, Esq. Saul Ewing Remick & Saul Philade

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Gilford Securities Inc., (Claimant/CounterRespondent) v. Dana L. Kender (Respondent/CounterClaimant) and Darlene E. Kender, JTWROS, (Respondent) Case Number: 00-01842 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES \ Claimant/CounterRespondent Gilford Securities Inc. ("Gilford"): Norman S. Lawi, Esq.. Respondent/CounterClaimant Dana L. Kender: Steven

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Haig Aghjayan 97-01177 Name of Respondents Dean Witter Reynolds Benedict R. Tarantino REPRESENTATION For Claimant Haig Aghjayan ("Claimant") appeared John D. Biafore, Esq., of the law offices Goldman & Biafore located in Providence, Rhode Island. For Respondents Dean Witter Reynolds ("Dean Witter") and Benedict R. Tarantino (Tarantino' 1 ) (