Award NASD Regulation, Inc. Tn iT>A K^o-H-ar f\f tVi* A t*Kitt-at Salvator J. Pico, Jr. (Claimant) vs. First Fidelity Brokers, Inc. and David Puccia (Respondents) Case Number: 98-02835 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Salvatore J. Pico, Jr., hereinafter referred to as "Claimant**: J. Roger Masi, Esq., Hackensack, New Jersey. Respondents, First Fidelity Brokers, Inc. ("FFBI") and David Puccia ("Puccia"), hereinafter

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Frederick C. and Emma T. Bogath John and Florence Ujvarosi Names of Respondents Palm State Equities, Inc. Southern Capital Securities, Inc. First Associated Securities Group, Inc. First Securities USA, Inc. Jeffrey Wade Kaplan Jonathan Roberts Financial Group, Inc. f/k/a Alliance Capital Management Corp. Case No. 98-02832 OF PARTIES For Claimants Frederick C.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Brokers Transaction Services, Inc. v. Randal D. Harteau Case Number: 98-2831 Hearing Site: Milwaukee, Wisconsin REPRESENTATION OF PARTIES Claimant Brokers Transaction Services, Inc., hereinafter referred to as "Claimant": Will Montgomery, Esq., and Tim Goodwin, Esq., Jenkens & Gilchrist, Dallas, Texas. Respondent Randal D. Harteau, hereinafter referred to as "Respondent": James A. Bol

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION^ INC. CASE: 98-02829 Garry Savage, Advanced Strategies Inc., and Wall Street Strategies Inc., claimants vs. Martha DeHaven, respondent. ATTORNEYS: For Claimants Garry Savage, Advanced Strategies Inc., and Wall Street Strategies Inc., Timothy L. Lanier, Esq., Toledo, Ohio. Respondent Martha DeHaven did not file a Statement of Answer. DATE FILED: 8/05/1998 CASE SUMMARY

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: GKN Securities Corp., Inc. (Claimant) vs. Scott Herkert (Respondent) Case Number: 98-02815 Hearing Site: New York REPRESENTATION OF PARTIES Claimant, GKN Securities Corp., Inc. ("Claimant"), David W. Schmidt, Esq. Lubiner & Schmidt, located in Kenilworth, New Jersey. Respondent, Scott Herkert, was not represented by counsel. CASE INFORMATION Statement of Claim filed on or abou

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard A American Gregory, Luis Bethart, and Fred P. Mazzeo (Claimants) v. Bayard Spector, •irst Capital Corp., and Dain Rauscher, Inc. (Respondents) Case Number: 00-01363 Hearing Site: New York, New York Nature of ^he Dispute: Associated Persons v. Member, Terminated Member, and Associated Person REPRESENTATION OF PARTIES Claimant Richard A. Gregory ("Gregory"). Lu

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: GKN Securities Corp., (Claimant) vs. Vincent Zerbo, (Respondent) Case Number: 98-02804 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, GKN Securities Corp., hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, New York, New York. Respondent, Vincent Zerbo, hereinafter referred to as "Respondent" did not enter an appearance in this

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Saguaro Asset Holding 1 and Ralph D. Davis, Claimants v. BA Investment Services, Inc. American Express Financial Advisors, Inc. (formerly known as IDS Financial Services) and Rock Mirich, Respondents Case Number: 98-02800 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimants: Ralph D. Davis In Pro Per Las Vegas, California For Respondents BA Investment Se

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Glenfed Brokerage Services v. Arbitration No. 98-02797 Name of Respondents W. Scott Norton and Castella Norton REPRESENTATION For Claimant: Neal S. Robb, Esq. Keesal, Young & Logan Long Beach, California For Respondents: W. Scott Norton and Castella Norton In Pro Per Orange, California CASE INFORMATION Statement of Claim filed: A

f* . Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles R. Corlew, Claimant vs. Richard Pawlikowski, Max Equities, Inc., SecWest Securities, Inc., Jeffrey Cimbal and Cliff Maher, Respondents. Case Number: 98-02790 Hearing Situs: Nashville, Tennessee (Telephonic Hearing) REPRESENTATION OF PARTIES Charles R. Corlew was represented by K.O. Herston, Esq., and Ronald C. Koksal, Esq., of Butler, Vines & Babb, Knoxville,