Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Seshagiri Rao Mallampati, (Claimant) vs. George M. Faherty, (Respondent) vs. Landmark International Equities and Howard B. Berger, (Third Party Respondents) Case Number: 98-00018 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Seshagiri Rao Mallampati, hereinafter referred to as "Claimants" appeared pro se. Respondent,.George M. Faherty ("Faherty"), hereinafter

Award NASD Regulation, It to die Matter of the Arbitration Between! Walter Brown, Claimant vs. Rnsscll Addeasi, Respondent ; Case Number: 98-00016 • New York,;N«w York PARTIES Qalmant Walter Brown "Qatoaht" appeared pro se. Respondent Russell Addessi appealed pro se. 1 CASEINFQRM TIQH Statement of Claim filed OP or afeout signed the Uniform Submi&ion Agreement; January 2, December 27> 1997, Respondent did not submit a

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Rose L. Alfano vs. CASE 98-00013 Name of Respondent Joseph Dortona REPRESENTATION Claimant, Rose L. Alfano, hereinafter referred to as "Claimant": Neil B. Fang, Esq, North Woodmere, New York Respondent, Joseph Dortona, hereinafter referred to as "Respondent" did not appear. • - 'CASE INFORMATION • . .: • - . . ' . - -

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-01745 Derrick Banks & Associates Names of the Respondents Hearing Site: Atlanta, Georgia Fin-Atlantic Securities, Inc. Edward Catsos Marc Goldberg REPRESENTATION QF PARTIES For Derrick Banks & Associates ("Banks") hereinafter referred to as "Claimant": Daniel I. Maclntyre, Esq. and Samuel T. Brannan, Esq. of Shapiro Fussell Wedge Smotherman Martin &

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimants AJA Trust Estate, Amore Pepetuo, Inc., Alfred J. Anzalone Family Limited Partnership, Alfred Anzalone and Joe Anzalone, JTWROS, and Alfred J. Anzalone v. Name of Respondents Global Equities Group, Inc., Quentin Quintana, Wayne Wichert, and Alex Shvarts Arbitration No. 98-00009 REPRESENTATION For Claimants: Mont E. Tanner, Esq. Law O

AWARD NASD Regulation, Inc. In the-Matter of the Arbitration Between: " ' . • . ' . ' . ' . ' •" s~ BARBARA ARTHUR, LARRY DORR, KECK KIMBELL, WALDO SCHROEDER, SANDI SCHROEDER, ROGER WILLIAMS, LANI WILLIAMS, GARLAND C. CAMPBELL, JR., MARILYN CAMPBELL, PAUL S. LEWIS, DONNA LEWIS, WILLIAM C. ROCHA, DANA L. ROCHA, MARTIN E. SPONGBERG, ALISON L. SPONGBERG, FRITZ FRANKE and SHERRY FRANKE, Cla

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Carter L. Doolittle Case No. vs. 98-00004 Name of Respondents Thomas J. Parilla and Dean Witter Reynolds, Inc. REPRESENTATION For Claimant Carter L. Doolittle ("Claimant") appeared Harold J. Bender, Esq. of the firm Gifford Lay & Johnson, located in Erie, Pennsylvania. For Respondents Thomas J. Parilla ("Parilla") and Dean Witter Reynolds, Inc. ("Dean W

AWARD Regulation, Inc In the matter of the Arbitration Between Name of Claimantfs) Douglas K. Smart " '•• : Koni K. Smart Arbitration • . • No. 98-00002 Name o£ Respondent is) Michael E. Spagnoli Mark A. Hanna " • . The Harriman Group Incorporated . REPRESENTATION, For Claimants: Randall R. Heiner, Esq.,'-Salt Lake City, Utah For Respondent Michael E. Spagnoli :.,'•'Edward J.. Toscano, Esq., Garden City./ New York. Fo

NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION IN THE MATTER OF ARBITRATION'BETWEEN Charles Schwab & Co., Inc., Claimant No, 97-06067 v. Fred Weatherly, Respondent REPRESENTATION OF PARTIES Claimant Charles Schwab & Co., Inc. was represented by Diane Fischer, Esquire and Linda Gallagher, Esquire of Gomberg, Kane & Fischer, Ltd. Located in Chicago, Illinois. Respondent Fred Weatherly was represented pro se. CASE INFORMATION Statement

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: John O'Malley, (Claimant) vs. Monroe Parker Securities, Inc., JB Oxford & Company, Clinton R. Keegan, Alan Lipsky, Bryan J. Herman, Ralph J. Angeline, (Respondents). Case Number: 97-06064 Hearina Site: Dallas, TX REPRESENTATION OF PARTIES Claimant, John O'Malley ("O'Malley"): Mike O'Neil, Esq., Law Offices of Mike O'Neil, Dallas. Texas. Respondent, J.B. Oxford & Company, ("J.B