N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Brantley, Trustee for Robert Brantley Revocable Trust 95-04846 Name of Respondents Clarence L. Brown Buckhead Financial Corp. REPRESENTATION For Claimant: Robert M. Weinberger, Esq. of the law firm of Cohen, Chermay, Norris, Weinberger & Harris, North Palm Beach, FL. For Respondents: Henry Lee Paul, Esq. of the law f

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Robert W. and Norma E. Lovell 95-04842 Names of Respondents Buckhead Financial Corporation J. Floyd Swilley REPRESENTATION For Claimants: Robert M. Weinberger, Esq. of the law Firm of Cohen, Norris, Scherer, Weinberger & Wolmer, North Palm Beach, Florida. For Respondent Buckhead Financial Corporation ("Buckhead"): Gregory R. Crochet, Esq. of the l

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Donald Onofrey, (Claimant) v. Leader Investment, Inc. and Harry Cavallaris, (Respondents) Case Number: 01-02004 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Donald Onofrey ("Onofrey"): Andrew J. Stoltmann, Esq. of the firm Maddox, Koeller, Hargett & Caruso located in Chicago, Illinois. Respondent Leader Investment, Inc. ("Leader Investment") and H

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants John R. Adler, Jill W. Adler and the Adler Family Revocable Trust dated March 7, 1986 v. Name of Respondents John Fromm and Sunpoint Securities, Inc. NASD Arbitration No.95-04841 REPRESENTATION For Claimants: For Respondent Sunpoint Securities Inc. Robert M. Weinberger, Esq. Cohen, Chernay, Norris, Weinbe

NASD REGULATION AWARD ^7 Q { I 7 Q NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Robert H. Donohoe of espondents Sunpoint Securities Inc. Robert E. Hawkins 95-04840 REPRESENTATION Claimant Robert H. Donohoe ("Claimant") was represented by Andrew Fulton, IV, Esq., of the law firm of Cohen Chernay Norris Weinberger & Harris, North PaJm Beach, FL, Respondent Sunpoint Securiti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Estate of Margaret G. Eyler Name of Respondent(s) Buckhead Financial Corporation David Blackwood 95-04839 REPRESENTATION Claimant, the Estate of Margaret G. Eyler ("the Estate"), was represented by Robert M. Weinberger, Esq. of Cohen Cheraay Norris Weinberger & Harris, North Palm Beach, Florida. Respondent Bucfchead Fina

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Betty M. Renfroe vs. 95-04838 Name of Respondents Investors Associates Frederick T. Mitchell REPRESENTATION For Claimant Betty M. Renfroe ("Claimant") appeared Raymond L, Moss, Esq.,at the time of the filing with the law firm Branch, Pike & Ganz. and now with the law firm of Sims, Moss, Kline & Davis, LLP, both located in At

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Nadine Stubbs/Susan Fought/Joseph Stubbs 95-04837 Name of Resaondems Interstate/Johnson Lane Paul J. Marshall CASE SUMMARY In a claim f|led :; wi&.th»j4atKi.[ud^5ociat!pn.Qf r S«iwrities Dealers, Inc. on October 12, Nadine Stubbs ^"N, Stubbs"), Susan Fought and Joseph Stubbs ^ {"Claimants' 1 ), who

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Susan Blezow 95-04835 Name of Respondents Samuel A. Ramirez & Co., Inc. Nick D'AIleva REPRESENTATION For Claimant Susan Blezow ("Claimant") appeared Joseph M. Palmiotto, a sole practitioner located in New York City, New York. For Respondent Samuel A. Ramirez & Co., Inc. ("Ramirez") appeared Kathy H. Rocklen, Esq. of the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anne M. McGonagle 95-04833 Nfame of Respondent Steven Tardiff CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 12, 1995; Claimant Anne M. McGonagle ("Claimant"), who appeared Pro Se, alleged that Respondent Steven Tarttiffk ("Respondent"), while employed by Linsco Private Ledger