NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Robert V. Andrews William C, Andrews 97-01364 Name of Respondents Euro-Atlantic Securities. Tnc. Michael Payne David Paul Mellilo REPRESENTATION For Claimants Robert V. Andrews and William C. Andrews ("Claimants") appeared Nicholas D. Thomas, Esq., a sole practitioner located in Raleigh, North Carolina. Respondent E

-JU..28.1998 8: £ 4«1 NfiSD REGULftTION PL N0>231 N.A.S-D. AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Brown &. Company Securities Corp. 97-01362 Nam6 Patrick G. Quinn For Claimant: Barry S. Fischer, Esq. of the law flnn of Bwntopf, Goodman & Baseman, LLP, Boston, Massachusetts. The Respondent appeared pro se, Statement of Claim filed: March 17, 1997. Claimant's Submissio

04/06/98 HON 14:36 FAI NASD REGULATION AWARD National Association of Securities Dealers Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between William A. Baldwin, Claimant v. Case Number 97-01357 Cowcn &. Company, Respondent REPRESENTATION OF PARTIES Claimant, William A. Baldwin was represented by Joe Alfred Izen, Jr., Esquire of Izen & Associates, P.C. located in Bellairc, Texas. Respondent, Cowen & C

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Milsons Findings Co., Inc. Profit Sharing Retirement Trust The Irving Heitner Trust The Loretta Heitner Trust vs. Case No. 97-01352 Names of Respondents Bradley Kule Advest, Inc. REPRESENTATION For Claimants Milsons Findings Company, Inc. Profit Sharing Retirement Trust ("Milsons Trust"), the Irving Heitner Trust and the Loretta Heitner Trust

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Ernst-Richard Matthiensen 97-01351 Name of Respondent Dresdner Kleinwort Benson (USA), Inc. REPRESENTATION For Claimant Ernst-Richard Matthiensen ("Matthiensen") appeared Joel M. Leifer, Esq. of the law firm Joel M. Leifer & Associates with offices located in New York, New York. For Respondent Dresdner Kleinwort Benson (USA), Inc. ("Dresdner") appeared Rona

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01350 Mary K. Hill, claimant v. C. Ron Pattern, Jr., Argent Securities, Thomas J. McKearn and Cytogen Corporation, respondents. ATTORNEYS: For Claimant Claimant appeared pro se located in Santa Fe, NM. For Respondents C. Ron Patton, Jr. and Argent Securities appeared Kenneth Brill located in Atlanta, GA. Respondents Thomas J. McKearn and Cytogen Corpor

AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of Arbitration Between Mark D. Hughes, D.O., Claimant, and No. 97-01345 Toluca Pacific Securities Corporation, Michael J. Sutera and James D. Verdone, Respondents. REPRESENTATION OF PARTIES Claimant, Mark D. Hughes, D.O., ("Hughes,") was represented by Bradley W. Foster, Esquire of Locke, Purnell, Rain and Harrell located in Dallas, Texas. Respondent, Toluca Pacific

AWARD NASD REGULATION, INC, OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Peter J. Ott and Dolores Ott 97-01342 Name of Respondents Prudential Securities Incorporated •^.nd Todd Morgan REPRESENTATION For Claimants: Peter J. Ott and Dolores Ott ("Ott"} were represented by James A. McGurk, Esq., located in Chicago, Illinois. For Respondents: Prudential Securities Incorporated ("Prudential") and Tod

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES niEATEi REGULATION. INC. CASE: 97-01337 Alan D. Redman, claimant vs. Dean J. Liakos, Hanifen, Imhoff Clearing Corp. , and Landmark International Equities, respondents. ATTORNEYS: Claimant appeared Pro Se, Dawsonville, GA. For Respondent Hanifen Imhoff Clearing Corp., appeared in-house counsel, David Cheung. Respondents Dean J. Liakos and Landmark International Equities did not respond to the

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Rockleigh Park Unit Trust and Don Elliott, Claimants vs. J.P. Turner & Co., LLC, Robert Peters, and George DiFuilo, Respondents. Case Number: 00-01866 Hearing Site: Honolulu, Hawaii REPRESENTATION OF PARTIES Claimants The Rockleigh Park Unit Trust and Don Elliot, hereinafter referred to collectively as "Claimants": Don Elliot, The Rockleigh Park Unit Trust, Seven Hills,