AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Howard Earlywine and 98-04112 Cincinnati, Ohio Name of Respondents First Liberty Investment Group, Inc. Anthony S. Almeida Robert J. Crawford REPRESENTATION OF PARTIES Howard Earlywine ("Claimant") appeared/;ro se. Mr. Earlywine was assisted in the handling of his presentation by his daughter, Gay Earlywine, whose attendance during the hearing was a

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joseph A. Ginarte (Claimant) vs. Commonwealth Associates and William Baquet (Respondents) Case Number: 98-04106 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Joseph A. Ginarte, hereinafter referred to as "Claimant": Jeffrey H. Daichman, Esq., Kane Kessler, P.C, New York, NY. Respondents, Commonwealth Associates ("Conunonwealth") and William Baquet ("Baquet"),

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Eli and Stephanie Serur, (Claimants) vs. Prudential Securities Inc. and Jeff Miller, (Respondents) Case Number: 99-03829 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Eli and Stephanie Serur, hereinafter collectively referred to as "Claimants": Brad S. Maistrow, Esq., Meyers & Maistrow, New York, NY, Respondent, Prudential Securities Inc. ("Prudential")

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Maher, (Claimant) vs. H.J. Meyers & Co., Inc. and Ted Goldstein, (Respondents) Case Number: 98-04102 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, David Maher, hereinafter referred to as "Claimant": Richard H. Kaplan, Esq., Rubin, Kaplan & Associates, Piscataway, NJ. Respondent, Ted Goldstein ("Goldstein"): Brian A. Carlis, Esq., Stark & Stark, Pri

AWARD NASD Regulation, Inc. CASE: 98-04100 GKN Securities, Inc., claimant vs. Brian O'Donnell, respondent. ATTORNEYS: Claimant appeared Pro Se through its Director of Litigation, Katiierine Nathan, New York, NY. Respondent failed to respond to the Statement of Claim. DATE FILED: November 3, 1998. CASE SUMMARY: Claimants alleged failure by respondent to repay Promissory Note. Claim Data Award Data Claim: $5,000.00 Award: $5,000.00 Interest: U

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Duane E. Townsend, M.D., Claimant vs. Robert John Johnson, Jr., Kenneth Adam Orr, Michael Lee Metier and William Horace Arcuri, Respondents. Case Number: 98-04099 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES Claimant, Duane E. Townsend, M.D., hereinafter referred to as "Claimant": Stephen S. Lux, Esq., Shustak Jalil & Heller, San Diego, Califomia Respondent, Robert

Award NASD Regulation, Inc. In the Matter of the ArbiUration Between Name of Claimant David E. Freeman NASD Case No. 98-04083 Hearing Site: Charlotte, North Carolina Steve Ingrassia, Slava Vulman and E.C. Capital Ltd. a/k/a European Community Capital REPRESENTATION OF PARTIES Claunant, David E. Freenian, hereinafter referred to as "Claimanf*: Harold H. Martin, Esq. and Donald M. Brown, Jr., Esq., Brown & Associates, PLLC, Charlotte, North Ca

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: George O'Keeffe and Catherine O'Keeffe, (Claimants) vs. Everen Securities n/k/a First Union Securities, Inc., Jerome White, and James Lamson, (Respondents). Case Number: 98-04080 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimants George O'Keeffe and Catherine O'Keeffe, hereinafter collectively referred to as "Claimants": Kathleen H. Gorr, Esq., Law Offices of Kathleen

Award NASD Regulation, Inc. In the Matter of the Arbitiration Between Name.s nf Claimants Lonaine Wood Roy Setiiff Alliance Equities Corp. Case No. 98-04078 Names of Restxmdepts Southern Financial Group, Inc. Jeffrey Matdiew Jenovese Michael Gil McDonald REPRESENTATION OF PARI For Claimants Lonaine Wood ("Wood"), Roy Setiiff ("SetiifT) and Alliance Equities Corp.. ("Alliance"), hereinafter refened to as "Claimants": Thomas A. Sim

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Paul Martin (Claimant) vs. Paul Palmnbo and Royal Palm Investments, Ltd. (Respondents) Case Number: 98-04077 Hearing Site: New York, New York' REPRESENTATION OF PARTIES Claimant, Paul Martin, hereinafter refened to as "Claimant": Lois W. Karfiinkel, Esq., Andover, Massachusetts. Respondent, Royal Palm Investments, Ltd., hereinafter refened to as "Royal Palm" was not represented at