NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant William C. Hursh and 97-00950 Name of Respondents Hayne Miller & Farni a/k/a Hayne Miller Financial, Inc. Edward C. Farni, II Michael Wheelock REPRESENTATION OF PARTIES William C. Hursh ("Claimant") was represented by Michael D. Bailey, Esq., San Francisco, California and John G. Hursh, Esq., Ritchey Fisher Whitman & Klein, Palo Alto, California. Hayne

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Clamant Cynthia D. Dexter and 97-00949 Name of Respondents The Prudential Insurance Company, Bill S. Pinkerton, John Devaney, Jack Palmer, Fred Dimmel, II, Jim Novack, Steve Zadeh REPRESENTATION OF PARTIES Cynthia D. Dexter ("Claimant") was represented by Aldo P. Caller, Esq., Shawnee Mission, Ka

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Thomas J. Love 97-00944 Name of Respondents Sterling Foster & Co., Inc. Adam R. Lieberman Craig Kellernian Frank Monroig Joseph Coluccio REPRESENTATION For Claimant Thomas J. Love ("Love") appeared Richard L. Heizfeld, Esq., of the law offices of Rosen, Einbinder & Dunn, P.C., located in New York, New York, For Respondents Sterling Foster &

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name ofjCIa.im.am H.J. Meyers & Co.. Inc. 97-00943 Name of Respondent Michael Qrlino REPRESENTATION For Claimant H.J. Meyers & Co,. Inc. ("Claimant") appeared Steven F Feder, E^q of the law firm Relin, Goldstein £ Crane, LLP, located in Rochester, New York. Respondent Michael Orlino ("Respondent") did not enter an appearance in this matter. CASEJNFORMATION ^-mc - i.

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: H.J. Meyers & Co., Inc., (Claimant) vs. Andrew Botwinick, (Respondent) Case Number: 97-00941 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant H.J. Meyers & Co., Inc., hereinafter referred to as "Claimant": Steven E. Feder, Esq., Relin, Goldstein & Crane, LLP, Rochester, NY. Respondent Andrew Botwinick, hereinafter referred to as "Respondent", did not m

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00940 Donald J. Krieg, claimant vs. Tony Gallea, Paul Beck and Smith Barney, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se - Fairport, NY. For Respondents appeared in house counsel, Ann Parry, Esq., New York, NY. DATE FILED: February 21, 1997 CASE SUMMARY: Claimant alleged that respondents engaged in deceptive practices including misleading writte

NASD REGULATION, INC, AWARD In the Matter of the Arbitration Between Name of Claimants Dr. Michael I. Weintraub Pension Plan Michael and Anita Weintraub, JTWROS Lisa Elian Weintraub 97-00938 Name of Respondents Sterling Foster & Co., Inc. Adam Lieberman Craig Kellerman Frank Monroig Brian Kearney Vincent Carrella Timothy Matthews Vincent Vaccaro Michael Cohn Diana Coblin Robert Balsamo Robert Mclntosh

NASD REGULATION, INC. AWARD lu the Matter of the Arbitration Between Name 01' Claimant Leo P. LaCouture 97-00933 Name of Respondent J.S. Securities REPRESENTATION Claimant Leo P. LaCouture ("Claimant") appeared pro se. For Respondent J.S. Securities ("Respondent") appeared Marvin Pickholz, Esq., of the law offices of Hoffman Pollok & Pickholz located in New York, New York. CASE INFORMATION Claimant's Statement of Claim was filed on F

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00932 Ronald L. Rowland, claimant vs. First Hanover Securities, Inc. and Gregory Emmanuel Ricca, respondents. ATTORNEYS: Claimant appeared Pro Se, Columbus, OH. For Respondents appeared Charles M. O'Rourke, Esq., Garden City, NY. DATE FILED: February 21, 1997. CASE SUMMARY: Claimant alleged that respondents failed to honor his instructions and made una

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Robert L. Marceaux Case No. 00-01814 Names of Respondents Hearing Site: New Orleans, LA Barren Chase Securities, Inc. Christopher Vincent Casdia Robert T. Kirk, Jr. REPRESENTATION OF PARTIES For Robert L. Marceaux, hereinafter referred to as "Claimant": Timothy J. O'Connor, Esq. of Ainsworth, Sullivan, Tracy, Knauf, Warner & Rustander, P.C.,