NASD REGULATION. INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Frederick K. Swiger Jr. MD & Judith Swiger 97-00742 Name of Respondent Smith Barney Inc. r REPRESENTATION For Claimants Frederick K. Swiger, Jr. t MD'and Judith Swiger ("Claimants") appeared Reynolds Williams, Esq., of the law firm Wilcox, McLeod, Buyck & Williams located in Florence, South Carolina. For Respondent

NASD REGULATION, INC. AWARD Case No. 97-00729 In the Matter of the Arbitration Between Name of Claimant Smith Barney, Inc. Name of Respondent Lawrence A. Smith REPRESENTATION For Claimant Smith Barney, Inc. ("Claimant") appeared Peter J. Anderson, Esq. of the law firm Sutherland, Asbill & Brennan, LLP located in Atlanta, Georgia. For Respondent Lawrence A. Smith ("Respondent") appeared Raymond L. Moss, Esq. of the law firm Sims Moss Klin

NASD REGULATION AWARD In the Matter of the Arbitration Between Nne t Judith Edwards 97-00728 Name of Respondent Gale Donovan REPRESENTATION Claimant Judith Edwards ("claimant") appeared pro se. Respondent Gale Donovan ("respondent") appeared pro se. CASE INFORMATION Statement of Claim was filed on February 11, 1997. Claimant's Submission Agreement was signed on February 10, 1997. Statement of Answer was filed on June 11, 1997. Respon

AWARD NASD REGULATION INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Benjamin W. Mandelstam v. Name of Respondent Alex David Shindman Arbitration No. 97-00722 REPRESENTATION For Claimant: For Respondents: Ms. Deborah R. Rosenthal, Esq. Law Offices of Linda M. Scaparotti San Francisco, California Mr. Alex David Shindman No Appearance Made Statement of Claim filed: C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Linda Ruocco and Susan Esposito 97-00720 Names of Respondents Shearson Lehman Brothers, Inc. Alan Weber REPRESENTATION For Claimants Linda Ruocco ("Ruocco") and Susan Esposito ("Esposito"): Sheldon Golding, Esq. of Sheldon Golding, P.A. For Respondents Shearson Lehman Brothers, Inc. ("Shearson") and Alan

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00716 Chuck Lastufka, claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se - Anchorage, AK. For Respondent appeared in-house counsel, Howard C. Sawransky, Esq., New York, NY. DATE FILED: February 7, 1997. CASE SUMMARY: Claimant alleged unsuitability regarding his investment in MRI Business Properties Fun

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Scott P. Holcomb, Claimant v. First Republic Group, LLC, Anthony LaGrega, Eric Scott Strominger, Lisa Ramos, and David O. Santillan, Respondents Case Number: 00-01781 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Scott P. Holcomb In Pro Per Mission Viejo, California For Respondents: Jon C. Furgison, Esq. Nash & Edgerton Hermosa B

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Dean K. Boorman 97-00714 Name of Respondent Randall John DeMatteo REPRESENTATION For Claimant Dean K. Boorman ("Claimant") appeared Richard Daniel De Vita, Esq., a sole practitioner located in Hoboken, New Jersey. Respondent Randall John DeMatteo ("Respondent") did not enter an appearance in this matter. CASE INFORMATION Claimant's Statement of Claim wa

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Estate of Edward J. Nicola vs. Case No. 97-00708 Name of Respondents Alan P. Halpert Bernard W. Eyssalenne REPRESENTATION OF PARTIES Claimant, Estate of Edward J. Nicola, hereinafter referred to as "Claimant": Jules Leo Federman, Atascadero, California Respondent, Alan P. Halpert, hereinafter referred to as "Halpert": Linda B. Katz, Esq., Sills Cumm

MftY.25.1998 3:40PM NfiSD REGULATION FL N0.986 P. 14 N.A.S.D. AWARD NASD Regulation, foe. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants David J. Andrix and Juanell S. Andrix, and David J. Andrix IRA NASD CASE NO. 97-00705 or Respondents Buckhead Financial Corporation and Donald P. Stewart H For Claimants: Jeffrey P. Cdeman, Esq. of Jeffrey P. Coleman, P.A., Qcarwater, Florida, Respondent Donald P