AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Gary and Carolyn Ilgenfritz vs. 97-01436 Name of Respondents HGI (aka The Harriman Group, Inc.) Mark A, Hanna Bernice L. Lerner Angelo J. Bosco Meyers, Pollock, Robbins, Inc. Stephen C. Palumbo" John C. Simonetti Shane T. Ferras REPRESENTATION For Claimants Gary and Carolyn Ilgenfritz: Jonathan H. Colman, Esq., Paoli, Pennsylvania R

NASD REGULATION. INC. AWARD In the Matter of ihe Arbitration Between Name of Claimant Kurt H. Gruen 97-0143 Name of Respondents Euro-Atlantic Securities, Inc. David C. McClean David P. Melillo Fred E. Plan James A. Contacessa REPRESENTATION For Claimant Kurt H. Grucn ("Claimant") appeared Thomas J. Hanrahan, Esq., with law offices in Glen Rock, New Jersey. Respondent Euro-Atlantic Securities, Inc. ("Euro-Atlantic") did not enter

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Phyllis Sandra Taylor v. Name of Respondent Ronald Vardi and Baraban Securities, Inc. Arbitration No. 97-01410 For Claimant: For Respondent Ronald Vardi REPRESENTATION Alan H. Friedenthal, Esq. Law Offices of Alan H. Friedenthal Sherman Oaks, California No Appearance CASE INFORMATION Statement of Claim filed: Claimant's Submi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01638 Joseph F. Mangione & Angeline J. Mangkme: Joseph F. Mangione. IRA and Angeline J. Mangione, IRA, claimants vs. Stan Sklenar and Prudential Securities. Inc.. respondents. ATTORKEYS: Claimants appeared Pro Se, through Joseph F. Mangione. San Rafael. CA. For Respondents appeared in-house counsel. Steven L, Raimer, Esq., New York, NY, DATE FILED: April 1, 19

AWARD NASD Regulation, Inc. In the matter of the Arbitration Between Name of Claimants Carlo V. Bruno and Margaret W. Bruno v. 97-01626 Name of Respondents Marsh Block & Co., Inc., and Kevin Michael Mahon REPRESENTATION For Claimants: Mr. Bruno represented himself and his wife. For Marsh Block & Co., Inc.: Peter A. Perlman, Esq., Beldock Levine & Hoffman, New York, New York. For Kevin Michael Mahon: Mr. Mahon did not appear.

AWARD NASD Regulation, Inc. Olllcc of Dispute Resolution In the Mailer of the Arbitration Between Name of Claimant Robert G. Pett/er, individually and as ^ trustee of the Robert G. Pcltzer IRA and 97-01625 Name of Respondent Kerry S. Brecker REPRESENTATION OF PARTIES Robert G. Pelt/er, individually and as trustee of the Robert G. Pelt/er IRA ("Claimant") appeared pro se. Kerry S. Breeker ("Respondent Brcckcr") did not appear at the h

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Linda L. Kelley and 00-01907 Scottsdale, Arizona Name of Respondent Michael J, Lyons REPRESENTATION OF PARTIES Linda L. Kelley ("Claimant") was not represented by counsel. Ms. Kelley also did not appear at the hearing of this matter held on Thursday, May 10,2001. By letter dated May 7,2001 the parties were advised that Ms. Lyons was granted perm

N.A.S.D. STIPULATED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. Name of Respondent MarcSitzer 97-01623 For Claimant: David S. Smith, Esq. of Smith Campbell & Paduano, New York, New York. For Respondent: Ian Douglas Atlas* Esq. and Eric Lee, Esq. of Atlas Perlman Trop & Borkson, Ft Lauderdale, Florida. CASE INFORMATION Statement of Claim filed: Mar

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joseph N. Torsiello, (Claimant) vs. Sterling Foster & Co., Inc., Adam R. Liebennan, Joseph J. Ferrante, and Bear Stearns Securities Corp., (Respondents) Case Number: 97-01612 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Joseph N. Torsiello, hereinafter referred to as "Claimant": Harold I. Geringer, Esq., Geringer & Dolan, New York, NY. Respondents, Sterling Foste

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jesus Mendez and Jesse Gaitan, Claimants vs. BBV Securities, Inc. and Probursa International, Inc., Respondents Case Number: 97-01604 Hearing Site: New York, New York ftEPRES^NTATTON OF PARTIES For Claimant, Jesus Mendez, appeared David Wechsler, Esq. of the law firm of Wechsler & Bursky LLP, located in New York, New York. For Claimant, Jesse Gaitan, appeared Neal Brickman, Es