Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Daniel Hawkinson and Judith Hawkinson, Claimants vs. Landmark International Equities, Eric J. Aronson, William Nunziato, Howard Brett Berger and Martin Herbert Drayer, Respondents. Case Number: 96-5178 Hearing Site: Milwaukee, Wisconsin REPRESENTATION OF PARTIES Claimant, Daniel Hawkinson ("D. Hawkinson") and Judith Hawkinson ("J. Hawkinson"), hereinafter collectively referred to as "

NASD Regulation, Inc. IB tbe Mawer of ihe Arbitration Between: Smith BeiKOn & Hugjjes, Inc., Claimants V. Jay William Taylor, Respondent v. Michael Nrni Zaman, and Claudia Jane Zaman. Ttod Pany Respondents Hearing Site: Los Angeles, California For Claimani md Thin} Party Respondcnis: Obcit A- Pb33ips Ilben A. Phillips Los Angeles, California For RcsponddU Jay William Taylor C. Tunoihy Srooot, Esq. Law Offices of C, Timothy Smooc

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Patricia R. Maki and Kathleen S. Hodgkiss. Co-Trustees of the Robert M Hynes Declaration of Trust U/A/D June 21, 1994, Claimants. and No. 96-05163 Primevest Financial Services, Inc., and Carroll Baldwin, Respondents. REPRESENTATION OF PARTIES Claimants Patricia R. Maki and Kathleen S. Hodgkiss, Co-Trustees of the Robert M; Hynes: Declara

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Somayaji Ramamurthy 96-05156 Name of Respondents Marc Rosen Edward McKay Buttonwood Securities Securities Planners, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on November 19, 1996, claimant Somayaji Ramamurthy ("claimant"), who appea

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Margaret L. Moten, Claimant v. Uvest Investment Services, Respondent Case Number: 01-02233 Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Margaret L. Moten, hereinafter referred to as "Claimant": Kalju Nekvasil, Esq., Stephen Krosschell, Esq., and Jennifer Newsom, Esq., Goodman & Nekvasil, P.A., Clearwater, Florida. For Uvest Investment Services, hereina

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of,the Arbitration Between Name of Claimant Taysir Y. Habrumman 96-05155 Name of Respondents Smith Barney, Inc. Robert G. Langstrom Patrick K. Neid REPRESENTATION Claimant Taysir Y. Habrumman ("Claimant") was represented by Marvin L. Szymkowicz, Esq., Mendelsohn & Szymkowicz, Washington, DC. Respondents Smith Barney, Inc. ("SBI"), Robe

N ,>' , N.A.S.D. REGULATION AWARD ^ fe '-' ' '' J & < - \ \ NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Vanessa Barber 96-05149 Name of Respondents Interstate/Johnson Lane Jason Heller REPRESENTATION Claimant Vanessa Barber ("Claimant") was represented by Cynthia V. McNeely, Payner & Spruill, Charlotte, NC. Respondents Interstate Johnson Lane ("IJL") and

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith, Inc. vs. Name of Respondent Case No. 96-05139 Shawn Hartpence REPRESENTATION For Claimant Merrill Lynch Pierce Fenner & Smith ("Claimant") appeared Christopher Coss, Esq. of the law offices of Rubin & Associates, P.C., located in Paoli, Pennsylvania. For Respondent Shawn Hartpence ("Respondent") appeared Andrew W. Sidman

NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William E. Mros and 96-05138 Name of Respondent Sterling Foster & Co., Inc., Christopher B. Atteo, David Lieberman, Andrew Edward Reegen, Adam Lieberman, and Edmund Patrick Heeney REPRESENTATION OF PARTIES William E. Mros ("Claimant") was represented by Robert D. Mitchell, Esq., Phoenix^ArizoriaV Sterling Foster & Co., Inc

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Blaise Gerrato 96-05137 Name of Respondents Sterling Foster & Co. REPRESENTATION Claimant Blaise Gerrato ("Claimant") appeared pro se. For Respondent Sterling Foster & Co. ("Sterling Foster*) appeared Justin Sacca, Esq. of the Law Office of Joseph D'Elia located in Huntington, New York. CASE INFORMATION Claimant's Statement of Claim was filed on No