JUN.22.1998 10=34PM NftSD REGULATION FL NO.220 P.16 N.A.S.D. AWARD NASD Regulation, IDC. Office of Dispute Resolution ' \ In the Matter of the Arbitration Between 1 Name of Claimant Anchor Management jjroup, Inc. 96-04440 Name of Respondent 1 Gerald J. Fasanelia REPRESENTATION For Claimant: Georgi* L. Guerra, Esq. of Fowler, White, Gillen, Boggs, VHiareal & Banker, P.A., Clearwater, FL. For Respondent: Enrique Arr

In the Matter of the Arbitration Between Name of Claimant Securities Research, Inc. 96-0443* NamesjQf Respondents Michael and Lorraine O'Council REPRESENTATION For Claimant Securities Research. Inc. r"SRTlii-MaA Aiken j£_ Tamarac, Florida. • •••.. V r '-XYi :'••-, " . ' . . ' ••• , : : V"\:.".v-""V '.' Respondents Michael and Lorraine O'Conncll appeared pro se_. CAC Statement of Claim filed: September 24,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04434 Stifel, Nicolaus & Company, Inc., Claimant v. Rick James Smith, Respondent ATTORNEYS: For Claimant appeared Rochelle S. Hall, Esq. - St. Louis, Missouri. Respondent appeared pro se - Orlando, Florida. DATE FILED: October 14, 1996 CASE SUMMARY: Claimant alleged that Respondent Smith took control of account and took the money. Claim Data Award Data

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Linda Kay Phelps, Claimant, and No. 96-04433 GKN Securities Corporation and Martin Pike, Respondents. REPRESENTATION OF PARTIES i ^Clfiniapt; }jU^4C^^^p^"J^^j^!) >yas, represented byJKptj,^ I£pell,;JEsquire ""*'— ""**"_;.-". ^"'^"'i'--"^'^?'^ 7^'>' ?;v "^^. °'-.; :< ;^V.r-" : f; " '-"'Vr' :" ; ~ :^" — V;? ? -'

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Meyers Pollock Robins, Inc. 96-04431 Name of Respondent Annie D. Cheng CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on October 7, 1996, claimant Meyers Pollock Robins, Inc. ("MPR" or "claimant") through its representative and in-house counsel Louis Miron, alleged t

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Proceeding Between May Financial Corporation, Claimant, Vs. G.T. Properties, Inc., Respondent, Vs. Northstar Securities, Inc., Third-Party Respondent. Case Number: 01-02157 Hearing Site: Cleveland, Ohio REPRESENTATION OF THE PARTIES Claimant/Counterrespondent May Financial Corporation ("May") was represented by Corbet F. Bryant, Jr., Esquire, of C

NASD REGULATION, INC. AWARt) In the Matter of the Arbitration Between Name of Claimant CIBC Wood Gundy Securities Corp. ^ Case No. vs. 96-04429 Name of Respondent Alpine Associates REPRESENTATION For Claimant CIBC Wood Gundy Securities Corp. ("Claimant") appeared Henry Flowers, General Counsel for the firm CIBC Wood Gundy Securities Corp. located in New York, New York. For Respondent Alpine Associates ("Respondent") appeared Erwin Shustak, o

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Vladimir J. Kalas and Eva Kalas 96-04426 Name of Respondents Sterling Foster & Company, Inc. Charles J. DiStefano Adam R. Lieberman REPRESENTATION Claimants Vladimtt^-K^s^d" 1 ^^ O'Connor Esq. of the law firm of Ainsworth, Sullivan, Tracy, Knauf, Warner & Ruslander, P.C., Albany, New York. Respondents Sterling Foster & Co. ("Sterling Fo

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Wheat First Securities, Inc. 96-04424 Name of Respondent Jeffrey L. Cox REPRESENTATION Claimant Wheat First Securities, Inc. ("Claimant") was represented by Mark J. Krudys, Esq., LeClair Ryan, Richmond, VA. Respondent Jeffrey L. Cox ("Respondent") was represented by Philip J. Murren, Esq., Ball, ~ Sk

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04423 Dennis L. McGuire & Gloria E. Padron, claimants v. Investors Associates, Inc, William Cutrone and Glenn Lavender, respondents. ATTORNEYS: For claimants appeared Dennis L. McGuire - Miami, FL. For Respondents appeared M. David Sayid, Esq. - Hackensack, NJ. DATE FILED: 10/4/96. CASE SUMMARY: Claimants alleged unauthorized purchase of securities, failur