NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jerry F. Sullivan and 93-04535 Naipe of Respondents ^""^ Neidiger, Tucker, Bruner, Inc. and Gary A. Silvestri REPRESENTATION OF PARTIES Jerry F. Sullivan ("Claimant") appeared pro se. Neidiger, Tucker, Bruner, Inc. and Gary A. Silvestri ("Respondents") were represented by Frank W. Visciano, Esq., Senn Lewis Visciano &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Fred V. and Ann L. Nichols 93-04519 Name of Respondent Raymond, James & Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 1, 1993, Claimants Fred V. and Ann L. Nichols, who appeared Pro Se, alleged that Respondent Raymond, James & Associates, Inc. misrepresente

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Oppenheimer & Co., Inc. 93-04518 Name of Respond_ent Michael Rohdenberg REPRESENTATION For Claimant:: Oppenheimer & Co., Inc. ("Oppenheimer") wasrepresented by Joseph F. Keenan, Esq., of Bochat & Keenan, P.C., located in Garden City, New York. For Respondent: Michael Rohdenberg ("Rohdenberg") did not appear. CASE INFORMATIO

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: PaulD. Svigos vs. Case No. 93-04516 Hearing Location: Chicago, Illinois Merrill Lynch Pierce Fenner & Smith Inc. REPRESENTATION OF PARTIES Claimant Paul D. Svigos ("Svigos") was represented by Jeffrey L. Liddle, Esq. of Liddle & Robinson, located in New York, New York. Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") was represented by Peter

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Smith Barney 93-04508 Name of Respondent^) Gibraltar Securities Co. David- D'Arcangelo Jeffrey Brewer McAleney REPRESENTATION For Claimant Smith Barney ("Smith Barney") appeared Anthony Paduano of the law firm Smith Campbell & Paduano located in New York, N.Y. For Respondent Gibraltar Securities Co. ("Gibraltar") appe

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: UBS PaineWebber, Inc., Claimant, Vs. Case Number: 01-02818 Daniel J. Kanabroski, Respondent, Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimant was represented by Lisa A. Catalano, of the Law Offices of Davidson, Manchel & Brennan, LLP, in New York, New Jersey and Massachusetts. Respondent Daniel J. Kanabroski appeared pro se.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Incarnate Word Hospital, Inc. 93-04498 Name of Respondents Westcap Government Securities, Inc. Jeff Riesenfeld For Claimant: Incarnate Word Hospital, Inc. ("Claimant") was represented by Raymond W. Henney, Esq. of Honigman Miller Schwartz & Cohn, located in Detroit, Michigan. For Respondents: Westcap Government Securities, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Tucker Anthony Incorporated 93-04483 Name of Respondent Michael Doane-Dodge REPRESENTATION For Claimant, Tucker Anthony, Inc.("Claimant"), John Hannon located in New York, New York. Respondent, Michael Doane-Dodge ("Respondent"), did not appear at the hearing. CASE INFORMATION Statement of Claim filed: October 26, 1993.

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between ROYALLENSTEIN, Claimant, v. NASD No. 93-04482 KEMPER SECURITIES and LANCE KOENNECKER, Respondents. Representation For Claimant: Shirley Smith, Esq. of Marina Del Ray, California For Respondent Kemper Securities: A. Brad Busscher, Esq. of Kemper Securities, Chicago, Illinois For Respondent Lance Koennecker: Lance Koennecker, pro se Case Infor

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Bear Stearns & Company 93-04479 Name pf Respondent Peter Gallo REPRESENTATION For claimant Bear Stearns & Co., Inc. ("claimant") appeared William T. Marshall, Jr., Esq., of the law firm Sullivan & Marshall located in New York, New York. Respondent Peter Gallo ("respondent") did not appear at the evid