N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02673 Patrick C. Ryan, claimant vs. H.I. Meyers & Co. Inc. f/k/a Thomas James Associates, Inc., Lindsey Riley and Bill Ramires, respondents. ATTORNEYS: For Claimant appeared G. Mark Brewer, Esq., of the firm, Brewer & Carlson, L.L.P., La Jolla, CA. For Respondents H.J. Meyers & Company, Inc. and Lindsey Riley, appeared Paul J. Delmore, Esq., of the firm, E

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between "X> Name of Claimant / V ^^.^—~~- t _y William C.Holtz 97-02670 Name of Respondents Investors Associates, Inc.; Luis Alvarado; Herman Epstein; Robert Nicholas Conforte, Jr.; Vincent Grieco; Douglas JohnMangan; and Mark Scott Blonder REPRESENTATION For Claimant: William C. Holtz was represented by John A. Dienner, III, Esq., of Kubiask, Cremieux, Fyls

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number- 00-02022 Maria M. Magnifico Name nf the Respondents Hearing vSite: Pittsburgh, PA Charles Schwab & Company, Inc. Parker/Hunter Incorporated Hartford Equity Sales Company Jayme A. Russo Hartford Life Insurance Company Hartford Life and Accident Ins. Co. ITT Hartford Life and Annuity Ins. Co. Nature of the Dispute: Customer vs. Mem

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Patricia Mglej Case No. 00-00234 Names of Respondents A.G. Edwards & Sons, Inc. Steven Ambrosio REPRESENTATION OF PARTIES For Patricia Mglej ("Mglej"), hereinafter referred to as "Claimant": David D. Ferrentino, Esq. and Matt C. Myers, Esq. of Alpert & Ferrentino, P.A., Tampa, Florida. For A.G. Edwards & Sons, Inc. ("Edwards") and Steven Ambrosi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Rajiv Pothineni, (Claimant) vs. Dreyfus Brokerage Services, Inc., (Respondent) Case Number: 00-00023 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Rajiv Pothineni, hereinafter referred to as "Claimant": William S. Shepherd, Esq., William S. Shepherd & Associates, Houston, TX. Respondent, Dreyfus Brokerage Services, Inc., hereinafter referred to as "Respo

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION i i In the Matter of the Arbitration Between Name of Claimant RH York & Co. 97-02664 Name of Respondent Felix Philip Landau REPRESENTATION For Claimant RH York & Co. ("Claimant") appeared Anthony G, Covatta, Esq., of the firm Drew & Ward located in Cincinnati, Ohio. Respondent Felix Philip Landau ("Respondent") did not enter an appearance at the hearing in this matter. CASE INF

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Cuando, Ltd. vs. Case No. 97-02663 Name of Respondent RAS Securities Corp. vs. Names of Third-Party Respondents M.D. Sass Associates, Inc. M.D. Sass Investors Services, Inc. REPRESENTATION For Claimant Cuando, Ltd. ("Claimant") and Third-Party Respondents M.D. Sass Associates, Inc. ("Sass Associates") and M.D. Sass Investors Services, Inc. (

N.A.S.D. REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION i > In the Matter of the Arbitration Between Name of Claimant Louis H. Halpern 97-02660 Name of Respondent : ^ f Kirlin Securities Inc. REPRESENTATION Claimant Louis Halpern ("Claimant") appeared pro se. For Respondent Kirlin Securities ("Kirlin") appeared Randolph Bartholme of the firm Kirlin Securities located in Syosset, New York. : xi !" X u viw.ixi r J^

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Francis Foret, Carmen Foret, and Bruce Foret, Claimants and Counter-Respondents, v. No. 97-02650 Prudential Securities, Inc., James Christman. and Jeffry Cummings, Respondents. Counter-Claimants, and Third-Party Claimants, v. Donald L. Foret, Third-Party Respondent. REPRESENTATION OF PARTIES Claimants and Counter-Respondents Francis

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02645 David Maurer and Sue Maurer, claimants vs. Patrick Michael Harrington and First midwest Securities, Inc.. respondents. ATTORNEYS: Claimants appeared Pro Se. Verona, WI. Respondents appeared Pro Se, Chicago, IL. DATE FILED: May 27, 1997. CASE SUMMARY: Claimants alleged that they were damaged by relying on respondents* representations regarding the