AWARD NASD Regulation, Inc. CASE: 98-02899 Joseph G. Charlton, claimant vs. First Liberty Investment Group and Becky Maria Nunez, respondents. ATTORNEYS: Claimant, Joseph 0. Charlton appeared Pro Se., Vancouver, WA. Respondent Becky Maria Nunez failed to respond to statement of claim. For Respondent Fh:st Liberty Investment Group, Inc., appeared Nicholas Guiliano, Esq., Philadelphia, PA DATE FILED: 08/11/1998 CASE SUMMARY: Claimant alleged u

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Miriam Owen, (Claimant) vs. Prudential Securities, Inc. and Matthew K. Portnoy, (Respondents). Case Number: 98-02902 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Claimant, Miriam Owen, hereinafter referred to as "Claimant": Ira J. Furman, Esq., Freeport, New York. For Respondent, Prudential Securities, Inc. ("Prudential"): James M. Bergen, Esq., Dorsey & Whit

Award NASD Dispute Resolution, Inc. In the Matter ofthe Arbibation Between Terrell Bridges and Francis Bridges Case No. 98^2897 Name of Respondents Bear Steams & Company, hic; Bear Steams Securities Coip.; Rrst Cambridge Securities Corp.; Michael Lee Metter; Kennedi Orr, and Seth Peter Margoshes RRPRRSENTATfON OF PARTTFJ8 Claimants Terrell Bridges and Frances Bridges ("Claimants") were represented by J. Timodiy Francis, Esq. of t

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claunant Quentin E. Jones, Jr. Case No. 98-02891 Names of Respondents Foster Jeffries Securities, LLC Sean McManus Steven L. Kamo George Michael Greco, Jr. Michael S. Weiner Thomas M. Allegra George M. Greco, Sr. Robert Steven Thomas Edward R. O'Brien Matthew Schonberg Kevin C. Held REPRESENTATION OF PARTIES For Claunant Quentm E. Jon

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Karl Senf, Claimant vs. Matthew A. Brown, Sutro & Co., Inc., and PaineWebber, Inc., Respondents. Case Number: 98-02889 Hearing Site: San Francisco, CA REPRESENTATION OF PAR-HES Claimant, Karl Senf, hereinafter referred to as "Claimant": John W. Barnes, Esq., 660 Market Street, Suite 300, San Francisco, CA 94104. Respondents, Matdiew A. Brown ("Brown") and Suti:o & Co., Inc., ("Sut

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Vema Mae Conde, individually and as trustee for the Conde Family Trust DTD 5-6-88 and Winkler Family Tmst UAD 8-23-88 V. Name of Respondent Al Whalen Arbitration No. 98-02880 For Claimant: For Respondent: REPRESENTATION Robert A. Uhl, Esq. Philip M. Aidikoff, Esq. Aidikoff & Uhl Beverly Hills, Califomia Christina R. Pfirr

Award NASD Regulation, Inc. In the Matter of the Arbitiation Between: Ken Davis, Ken Davis Trust, Daniel Davis Trust, Carrie Davis Trust, J.K. Davis, Ken Davis IRA, Juanita A. Davis IRA, and Sherry Burks Trust, Claimants v. Sutro & Co., Inc. and Robert Pate, Respondents Case Number: 98-02875 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimants: H. Thomas Fehn, Esq. Fields, Fehn, & Sherwin Los Angeles, Califomia For Re

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Daniel Finch, Claimant v. Capital Planning Associates, James E: Lingo, Stephen F. Agnese, Anthony Cavicchio, Gregory George Groeller, and Frederick William Wall, Respondents. James E. Lingo, Cross-Claimant and Third-Party Claimant v. Capital Planning Associates, Stephen F. Agnese, Anthony Cavicchio, Gregory George Groeller, and Frederick William Wall, Cross-Respondents and Earl J. Rushak,

AWARD NASD Regulation, Inc. CASE: 98-02870 Ronald Ellermeier, claimant vs. European Community Capital, Ltd., respondent. ATTORNEYS: Claimant appeared Pro Se, Glenvil, NE. For Respondent European Community Capital, Ltd., appeared Charles M. O'Rourke, Esq., Garden City, NY. DATE FILED: August 7, 1998 CASE SUMMARY: Claimant alleged that respondent purchased shares of Sirco International Corporation stock without his knowledge and consent. Claim

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between A Chevy Chase Financial Services Case No. 01-041 86 Prudential Securities, Inc. Kevin L. Bruening Hearing Site! Washington, D.C. ° 1 Claimant, Chevy Chase Financial Services ("Chevy Chase") hereinafter referred to as "Claimant": Campbell Killefer, Esq., Venable Baetjer Howard & Aviletti, LLP, Washington, D.C. Respondents, Prudential Securities, Inc. ("Pruden