NASD REGULATION. INC. AWARD In the Matter of the Arbitration Between Name of Claimant Marion B. Hanaghan vs. Case No. 97-00660 Names of Respondents Prudential Securities Ronald Gruenberg REPRESENTATION Claimant Marion B. Hanaghan ("Claimant") was initially represented by Richard N. Rougeau, Esq. of the law firm of Rougeau, Butler & Largay, dismissed as counsel on or about June 4, 1998. Thereafter, Claimant appeared pro se. For Re

AWARD NASD REGULATION, INC, In the Matter of the Arbitration between ) ) JAMES W. FOX, JR., ) as Guardian over the person and estate of ) JAMES W. FOX, SR, N.C.M. ) ) Claimant, ) ) Case No. 97-0656 vs. ) ) MERRILL LYNCH, PIERCE, FENNER & SMITH ) INC., and GREG HARNED ) ) Respondents. ) REPRESENTATION OF PARTIES Claimant, James W. Fox, Jr., as Guardian over the person and estate of James W. Fox, Sr. N.C.M., ("Fox")

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter ofthe Arbitration Between Name of Claimant I'veren Securities. Inc. and 07-00652 Name of Respondent i). 'late Shetterly RFPRKSKN TATION OF PARTIKS Hveren Securities, Inc. ("Claimant*') was represented by Ronald P. Mane, I'sq.. Gomberg Kane & Fischer. Ltd.. Chicago, Illinois. D. Tale Shetterly ("Respondent") was represented by Otto K. I lilberl. II. Hsq.. Reinharl, Boerner

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Chrissy Yung and Milton A. Tarn and 97-00650 Dallas, Texas Name of Respondents Joe E. Poe Jr. and Dallas Research & Trading REPRESENTATION OF PARTIES Chrissy Yung and Milton Tarn ("Claimants") were initially represented by Ralph Perry-Miller, Esq., of Perry-Miller & Beasly, Dallas, Texas. On or about March 3,1998 Mr. Perry-Miller withdrew as co

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Karl Birkenfeld Case Number and 97-00649 Name of Respondent A.S. Goldmen & Company, Inc. REPRESENTATION OF PARTIES For Karl Birkenfeld ("Claimant") appeared Leon B. Lipkin, Esq., a sole practioner, located in New York, New York. For A.S. Goldmen & Company, Inc. ("Respondent") appeared Lewis Goldberg, Esq., of the Law Offices of Carole R. Bernstein,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between of Claimant Alan E. Lese 97-00647 Name of Respondent Duke & Company, Inc. Michael Asselta REPRESENTATION For Claimant Alan E. Lese ("Claimant") : Laurence S. Lese, Esq., Washington, D.C. For Respondent Duke & Co., Inc. ("Duke"): Bruce Kahne, Esq., New York, NY For Respondent Michael Asselta ("Asselta"); Brian Rei

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00640 Dorothy Battelene, claimant vs. A.S. Goldmen & Co., Inc., John Lester and Stephen Kaplan, respondents. ATTORNEYS: Claimant appeared Pro Se, New Hartford, NY. For Respondent appeared Carole R. Bernstein, Esq., Norwalk, CT. DATE FILED: February 6, 1997. CASE SUMMARY: Claimant alleged that respondents failed to provide full and fair disclosure, and

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, CASE: 97-00636 Christopher E. Ayers and Teresa M. Ayers, claimants vs. Neil L. Junker, respondent. ATTORNEYS: Claimants appeared Pro Se, Fort Worth, TX. For Respondent appeared Russell K. Bean, Esq., of Cohig & Associates, Inc., Englewood, CO. DATE FILED: February 5, 1997 CASE SUMMARY: Claimants alleged that he lost money because of respondent's untimely disseminat

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Allied Securities, Inc., (Claimant) vs. Mark Caron, (Respondent). Case Number: 00-01777 Hearing Site: Seattle, Washington. REPRESENTATION OF PARTIES For Claimant: Marion J. Vomhof, Esq. First Allied Securities, Inc. San Diego, California. For Respondent: Did not appear. CASE INFORMATION Statement of Claim filed on or about: April 26, 2000. Claimant execut

NASD Regulation, Inc., Office of Dispute Resolution Arbitration No. 97-00629; Award Page 1 of S_ NASD Regulation, Inc., Award In the Matter of Arbitration Between Charles H. Garrido, Jr., Claimant, and No, 97*00629 Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. EtEPRESENTATION OF PARTIES Claimant, Charles H. Garrido, Jr., ("Garrido") was represented by Mark E. Maddox, Esquire of Maddox, Koeller, Hargctt & Caruso, located in Indianapo