*" NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between i Name of Claimant Jill Mervin 97-00138 Name of Respondents Principal Financial Securities, Inc. Hamilton Investments, Inc. Osborne L. Jones Michel Schenone John G. Lavin REPRESENTATION Claimant Jill R. Mervin ("Claimant 11 ) was represented by William Lenihan, Esq., New York, NY. Respondents Principal Financial S

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Charlotte Lebowitz 97-00137 Name of Respondents Kyle Koellner John Klausner Ryan Beck & Company REPRESENTATION Claimant Charlotte Lebowitz ("Claimant") appeared pro se. For Respondents Kyle Koellner ("Koellner"), John Klausner ("Klausner"), and Ryan Beck and Company ("Ryan Beck"), collectively referred to as "Respondents", appeared Simon S. Kogan, Esq.,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-00136 Olde Discount Corporation, claimant v. Kenneth Rojo, respondent. ATTORNEYS: For claimant appeared Steven D. Carby, Esq. - Detroit, MI. Respondent did not appear. DATE FILED: 1/10/97 CASE SUMMARY: Claimant alleged respondent owed a debit balance. Claim Data Claim: $3,781.75 Interest: Yes Punitive: $.00 Atty Fees: Yes Filing Fees: $

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) John M. Dunham, DOS Arbitration No. 97-00132 Name of Respondent(s) Investors Associates, Inc. Jaron Equities Corp. Davia Reynolds (also known as David Reynoso) REPRESENTATION For Claimant: Robert Stratton Felker, Esq., Tacoma, Washington For Respondents Investors Associates, Inc. and David Reynolds {also known as

MPY.18.199S 11=24AM NfSD REGULATION FL NQ.579 P. 13 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between * Nams of Claimant L. Michael Rhodes 9740127 Metropolitan Life Insurance Co. John Carlton Moorcroft Foi Claimant; H. Marie Vtetti, Esq., of Tilghman & Vie*, P. A., Miami, Florida. For Respondent Metropolitan Life Insurance Co. ("Metfife"): Marilyn J, Holifieid, Esq. and Thomas H. L

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between William H. Davidson and Mesa, Inc. Claimant, and No. 97-00126 The Harriman Group, Inc. a/k/a HGI and Joseph Tuozzo,Bernice Lerner, Jeffrey Gray, Frank Casillo, Hanifen, Imhoff Clearing Corporation, The Harriman Group, Inc., Mark A. Hanna, Stephen Palumbo and Brian Douglas Scanlon Respondents. REPRESENTATION OF PARTIES Claimants, William H. Davidson and Mesa, Inc. ("

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant J. Craig Yacoe 97-00119 Name of Respondent Wheat First Securities, Inc. REPRESENTATION Claimant J. Craig Yacoe ("Claimant") appeared pro se. Respondent Wheat First Securities. Inc. ("Respondent") was represented by Stephen T. Perkins* Esq., LeCIair Ryan, Richmond, VA. CASE INFORMATION The Statement of Claim was

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) John DeRosa v. Arbitration No. 97-00118 Name of Respondent(s) GNA Securities, Inc. REPRESENTATION For Claimant: Robert P. Biegler, Esq., Biegler, Opper & Ortiz Sacramento, California For Respondent: Edward J. Wiles, Jr., Esq. GNA Securities, Inc. Stamford, Connecticut CASE INFORMATION Statement of Clai

NASD REGULATION AWARD In the Matter of the Arbitration Between Name nf riai Patricia Levin 97-00117 Name of Respondents Josephthal Lyon & Ross Incorporated Michael H. Hirsch Meg Newman REPRESENTATION Claimant Patricia Levin ("claimant") appeared pro se. For respondents Josephthal Lyon & Ross Incorporated ("Josephthal"), Michael Hirsch ("Hirsch") and Meg Newman ("Newman") appeared Robert E. Murphy, Esq., Deputy General Counsel of Jose

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John D. Kaufman and John D. Kaufman IRA Rollover, Claimants v. Coleman & Company Securities, Teddy Ishak, Elie Zaccai, Philip C. Puccio, Sr., David Ehud Laska, Michael John Urbinato, and Coleman Holding Corporation, Respondents Case Number: 01-01426 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Jeffrey A. Feldman, Esq. Law Offices of Jeffrey A.