N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carl Joseph Lanzisera NASD Case No. vs. 93-02176 Name of Respondent Steve F. Miller, Jr. REPRESENTATION Claimant, Carl Lanzisera ("Claimant"), represented himself at the hearing. For Respondent, Steve F. Miller ("Respondent"), Terrance Hoffman, Esq. from the law firm of Hoffman Hurbert, Hoffman & Greenough located in Syracu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Murray Sobie Case No. 93-02165 Names of Respondents Tucker Anthony Incorporated Gabriele, Hueglin, & Cashman, Inc. David A. Zwick For Claimant, Murray Sobie ("Sobie"): Robert W. Pearce of Lerner & Pearce, P.A. For Respondents, Tucker Anthony, Inc. ("Tucker") and Gabriel, Hueglin and Cashman, Inc. ("GH&C") and David Zwic

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between e o Cli Irving & Jean Judovin Case No. 93-02160 NameofRfiSDondents Neil D. Schwartz, FPC Inc., Financial Planning Services, Inc., Financial Planning Insurance Agency Inc; NDS Financial Group, Inc., Ronald R. Molina, Financial Capital of America, Inc. and Financial Capital of America Investment Company, Inc. FPC Inc. For Claimants, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph P. and Helen K. Delay 94-00023 Name of Respondent Piper Jaffray, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 3, 1994, Claimants Joseph & Helen Delay, who appeared Pro Se, alleged that Respondent Piper Jaffray, Inc., through its registered representative, Jaime

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Prudential Securities Inc 94-00020 Name of Respondent!^ Donald Spongberg REPRESENTATION Claimant Prudential Securities Incorporated ("Prudential"), was represented by Denis J. McCarthy, Esq., of Prudential Securities Incorporated. Respondent Donald Spongberg was represented by Frank A. Lightmas, Jr., Esq. of L

N.A.S.D. AWARD » NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul Schneider 94-00015 Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. REPRESENTATION For Claimant Paul Schneider ("Claimant") appeared Jerome M. Selvers, Esq. of the law firm of Sonnenblick, Parker & Selvers, P.C. located in Freehold, New Jersey. For Respondent Merrill Lynch Pierce Fenner & Smith, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Anthony Gagliano and A. Gagliano Co., Inc., Claimants v. No.94-00007 Lawrence J. Friedlander, Bear Stearns & Co., Inc. and Dean Witter Reynolds, Inc., Respondents REPRESENTATION OF PARTIES Claimants, Anthony Gagliano and A. Gagliano Co., Inc., were represented by Terrence Buehler, Esq. of Susman, Saunders & Buehler, Chicago, IL. Respondents, Bear Stearns & Company, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^&) Daniel S. Allen 94-00005 Name of Resoondent(s> Dean Witter Reynolds, Inc. Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant: John R. Kiefner, Esq. of the law firm of Rideo, Earle & Kiefner, P.A., St. Petersburg, PL. For Respondent: Shearson Lehman Brothers, Inc. ("Shearson"): Pete S. Michaels, Esq., in- hous

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steve Zeldin, (Claimant) vs. Goldis Financial Group, Inc., (Respondent) Case Number: 01-02877 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Steve Zeldin, hereinafter referred to as "Claimant", appeared pro se. Respondent, Goldis Financial Group, Inc., hereinafter referred to as "Respondent": Howard S. Eilen, Esq., Lehman & Eilen LLP, Uniondale, NY. CASE INF

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Fahnestock & Co., Inc. Gordon & Co. Aspen Capital Group, Inc. 93-05396 Name of Respondent Rafi M. Khan REPRESENTATION For Claimants: Fahnestock & Co., Inc.("Fahnestock") and Gordon & Co.("Gordon") Richard F. Market located in Nev^York, New York. For Claimant: Aspen Capital Group ("Aspen"), Andrew Petrie located in Denv