JON. 6.1999 ia:29PM NftSD REGULftTION PL NO.770 P.13 AWARD NASD Regulation, Inc. In me Matter of the Arbitration Between Name Stephen G, Laube Case No. 97-04584 Names of Respondents First United Equities Corporation Roberto Mangiarano REPRESENTATION For Claimant: Pat Sadler, Esq. of Sadler & Associates, P.C., Atlanta, Georgia. For Respondent Roberto Mangiarano ("Mangiarano H ): Marc S, Gottlieb, Esq. of the law firm of Beckman

. 15.19 99 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Pamela A. ParzyrisJd, Individually and as Trustee of her S.E.P.-IRA Account 97-04581 Names of Respondents Prudential Securities, Inc. Dwayne Ross Jeffrey Weiss REPRESENTATION For Claimant: Russell L. Forkey, Esq. of Russell L. Forkey, P. A,, Fort Lauderdale, Florida, For Respondents Prudential Securities, Inc, ("Prudential") and Dwayne Ros

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Bruce Gourlay & Linda Mackey JT/WROS v. Name of Respondents Meyers Pollock Robbins, Inc. and James Mayer Arbitration No. 97-04575 For Claimant: For Respondent Meyers Pollock Robbins, Inc.: For Respondent James Mayer: Statement of Claim received on: REPRESENTATION Joseph M. Hartley, Esq. Hartley & Har

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04574 Jerome Connolly, claimant vs. Stephen D. Carcaterra and First Hanover Securities, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se. - Selinsgrove, PA. -For Respondents appeared Dan A. Druz, Esq. Manasquan, NJ. DATE FILED: 9/17/97 CASE SUMMARY: Claimant alleged negligence, breach of fiduciary duty and failure to follow instructions. Clai

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Robert O'Hare vs. 97-04572 Name of Respondents Euro-Atlantic Securities, Inc. Robert Hines L Albert Baquero Fred E. Plan David P. Melillo REPRESENTATION For Claimant Robert O'Hare ("Claimant"): Jonathan A. Colman, Esq., Paoli, Pennsylvania Respondents Euro-Atlantic Securities, Inc. ("Euro"), Robert Hines ("Hines"), J. Albert Baquero ("Baquer

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Frederick H. Boehm vs. Case No. 97-04570 Name of Respondent Stephen F. Agnese REPRESENTATION Claimant Frederics H. Boehm ("Claimant") appeared pro se. Respondent Stephen F. Agnese ("Respondent") appeared pro se. CASE INFORMATION Claimant's Statement of Claim was filed on September 11, 1997. Claimant's Submission Agreement was signed on September

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Lexington Capital Corp. Case No. vs. 97-04568 Name of Respondent Chanse Keith Menendc, REPRESENTATION For Claimant Lexington Capital Coip. ("Claimant") appeared John L. Pollock, Esq., from the law firm of Hoffman Pollock & Picholz, LLP, located in New York, New York. For Respondent Chanse Keith Menendez ("Respondent") appeared Audra Acquavella, Esq., fr

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04566 Product Promotions, Inc. Defined Benefit Pension Plan, claimant vs. Miller & Schroeder Financial, Inc. and Richard Grace, respondents. ATTORNEYS: For Claimant appeared Tern C. Richmond - Los Angeles, CA. For Respondents appeared Mary Jo Brenden - Minneapolis, MN, DATE FILED: 9/16/97. CASE SUMMARY: Claimant alleged misrepresentation and breach of fidu

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Benjamin J..Saggese CASE vs. #97-04565 Name of Respondent Sylvester Amayo REPRESENTATION Claimant Benjamin J. Saggese ("Claimant") was represented by Justin J. McCarthy, Esq., Exton, PA. Respondent Sylvester Amayo ("Respondent") appeared pro se._ CASE INFORMATION The Statement of Claim was filed September 16, 1997. Claimant's Uniform Submiss

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-04563 Fox & Company Investments, Inc., claimant vs. Robert P. Rifkin, respondent. ATTORNEYS: For claimant appeared James W. Moldermaker - Phoenix, AZ. Respondent did not appear. DATE FILED: 9/16/97 CASE-SUMMARY: Claimant alleged debit balance in account. Claim Data Award Data Claim: $3,857.10 Award: $3857.10 Arty Fees: $.00 Atty Fees: $.00 Fili