Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Oszer Tajtelbaum . Case No. 98-01139 Name of Respondent First Union Brokerage Services, Incorporated REPRESENTATION OF PARTIES Claimant appeared pro se. For Respondent First Union Brokerage Services, Incorporated: Angela G. Miele, Esq., Kutak Rock, Atlanta, Georgia, CASE INFORMATION Statement of Claim filed on or about March 19, 1998. Amended St

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Olga B. Emanuel (Claimant) v. The Prudential Insurance Company of America, Peter Allegrini, and Mendel Melzer (Respondents) Case Number: 00-02964 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Olga B. Emanuel ("Emanuel") hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq.,

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Robert J. McPeek and 98-01138 Name of Respondent Steven Pantelis LaJolla Capital Corporation n/k/a Pacific Cortez Securities REPRESENTATION OF PARTIES Robert J. McPeek ("Claimant") appeared pro se. Steven Pantelis ("Respondent Pantelis") did not appear at the hearing. LaJolla Capital Corporation n/k/a Pacific Cortez Securities ("Respondent LaJolla") did

JflN. 6.1999 12=26PM NftSD REGLJLflTION FL NO.770 P.5 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between of Claimant Gerald Goldklang 9B-01132 Namea of Respondents Maidatone Financial, Inc. Marshall A. Bernstein Stuart J. Idtman George Carlo, Jr . REPRESENTATION For Claimant! Edward J, Dovin, Esq. of the law firm of Page & Bacek, Atlanta, Georgia. Respondent Marshall A. Bernstein ("Bernstein") appeared pro s

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: The James L. & Barbara F. Mclnerney Family Limited Partnership, Barbara Mclnerney and JohnF. Foley (Claimants) vs. Olde Discount Corporation, Bradley Timms and Michael Tafelski (Respondents) Case Number: 98-01130 Hearing Site: Washington, D.C. REPRESENTATION OF PARTIES Claimants, The James L. & Barbara F. Mclnerney Family Limited Partnership ("Partnership"), Barbara F. Mclnerney (

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Concepcion Barney, Claimant, v. No. 98-01128 WMA Securities, Inc., World Marketing Alliance, Inc., Lawreve Stubbs, Barbara Chizmas, Gary Stanhiser, John F. Keegan, Kevin L. Palmer, Robin Bundy, Monty Holm, and Hubert Humphrey, Respondents, REPRESENTATION OF PARTIES Claimant Concepcion Barney ("Claimant") was represented by Colbert N. Coldwell, Esq. of Guevar

NASD REGULATION, INC, AWARD In the Matter of the Arbitration Between Name of Claimant Michael Dobson vs. Case No. 98-01118 Name of Respondents Carlos Latalladi Foster Jeffries Securities Sean McManus REPRESENTATION For Claimant Michael Dobson ("Claimant") appeared Diane Sammarco, Esq., of the law offices Pressman & Associates located in New York, New York. For Respondent Carlos Latalladi ("Latalladi") appeared Lawrence Liebowitz,

STIPULATED AWARD NASD REGULATION, INC, ARBITRATION BEFORE THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, Inc. FRANK P. MANGIATORDI, Claimant, - against - NASD CASE NO. 98-01115 R.D. WHITE & CO., Inc., JOHN R. PISCOPO and CHARLES PRINCIPATO, Respondents/Third Party Claimants - against - VINCENT L. FAVATA, JR., Third Party Respondent / and Counter-Claimant, - against - R.D. WHITE & CO., Inc., JOHN R. PISCOPO and CH

NASD REGULATION, INC. AWARD [P rfc In the Matter of the Arbitration Between wmi w* i •i.« Name of Claimant Randy R. Guerra and Case Number 98-01114 Name of Respondent Salvatore Puglisi REPRESENTATION OF PARTIES Claimant Randy. R. Gue^ appeared pro"se, Ji ' " " -'~* •••';;"- - >• -'-*'• - - . - • / ' ' • • •>-• .' ----- < .•--:-.'.;'--• '•-.•!.^".-i: j' C- :; -,' :;i £: " "'^ : -

AWARD NASD Regulation* Inc. CASE: 98,01113 N. Thomas Bellassai. claimant vs. Maidstone Financial, Inc. and George Carlo, respondents. ATTORNEYS: For claimant appeared Robert C. Grossman, Esq., - Rochester, NY. For respondent George Carlo appeared David S. Richan, Esq.. - New York, NY. Respondent Maiusione Financial, Inc. did not appear. DATE FILED: 3/24/98 CASE SUMMARY: Claimant alleged failure to properly execute a purchase order for requested