PI 1 N.A.S.D. AWARD U NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Vernon Hickinson 93-02512 Name of Respondents') Prudential Securities Inc HF.PRF.SENTATION For Claimant Vernon Hickinson: Daniel A. Lowenthal, HI, Esq. of the law firm of Winthrop, Stimson, Putnam and Roberts, New York City, NY. For Respondent Prudential Securities, Inc.: James M. Bergen, Esq. of the law firm o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank G. Regas 93-02503 Name of Respondents PaineWebber, Inc. Lillian Katzin REPRESENTATION For Claimant, Frank G. Regas ("Regas"): Jeffrey Sonn, Esq. of the Law Offices of Jeffrey Sonn and Adam D. Palmer, Esq. of Elk, Bankier & Palmer of Boca Raton, Florida. For Respondent, PaineWebber, Inc. ("PaineWebber 11 ): Tho

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Joanne Irene Kegel and 01-02622 Minneapolis, Minnesota Name of Respondents Walnut Street Securities, Inc. Eugene R. Adams, Jr. The Equitable Life Assurance Society of the United States REPRESENTATION OF PARTIES Joanne Irene Kegel ("Claimant") was represented by Daniel D. Hill, Esq., Hill Law Office, Minneapolis, Minnesota. Walnut Street

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Harris V. Evans, Jr. 93-02464 Name of Resoondentfs) TAW Securities, Inc. Thaddeus A. Wier, Jr. Timothy T. Kraska REPRESENTATION For Claimant: E. Michael Semple, Anthony P. Diamond, of Counsel, Hamburg, NY. For Respondents TAW Securities, Inc. and Thaddeus A. Wier, Jr.: Edwin A. Zipf, Esq. of the law firm of Bress

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (s) Marylu Kauder Ed Kauder NASD Arbitration No. 93-02439 Name of Respondent (s) Alex. Brown & Sons, Incorporated REPRESENTATION For Claimants: David C. Hinshaw, Esq., Gansinger, Hinshaw & Buckley, Los Angeles, California For Respondent: Daniel J. Donovan, Esq., Alex. Brown & Sons Incorporated, Baltimore, Mary

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Stanley T. Johnson 93-02433 Name of Respondent(s) Kemper Securities, Inc. as successor to Prescott, Ball & Turben Inc. REPRESENTATION For Claimant Stanely T. Johnson: Gerald M. Coakley, P.C., Newton, MA. For Respondent Kemper Securities Group, Inc. as Successor to Prescott Ball and Turben, Inc.: John B. Lewis, Esq. and S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William Wallace, HI Case No. 93-02422 v. Name of Respondent Advanced Equity Group, Inc. Nathan B. Batalion Rand M. Cohen AE Holding Corp. Alan Tokayer Barry Woloshin REPRESENTATION For Claimant William Wallace, III ("Wallace") appeared Sharon Carlstadt of the law firm Reid & Priest located in New York, N

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Jan Sinclair Claimant, v. No. 93-02407 Olde Discount Corporation Respondent. REPRESENTATION OF PARTIES Claimant Jan Sinclair ("Claimant") appeared pro se. Claimant was previously represented by Harry A. Carson, Esq. of Carson & Carson, P.C. located in Detroit, Michigan. Respondent Olde Discount Corporation ("Olde" or "Respondent") was represente

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Aaron W. Ford Case vs. #93-02400 Name of Respondent Dunhill Equities, Inc. REPRESENTATION For Claimant, Aaron W. Ford f/k/a Aaron W. Wertheim ("Claimant"), Peter Harrington, Esq. from the law form of Cosgrove, Eisenberg & Kiley, P.C., located in Quincy, Massachusetts For Respondent, Dunhill Equities, Inc. ("Respondent") Chr

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mary S. Looney, Claimant, and No. 93-02786 Timothy J. Riley, Shearson Lehman Brothers, Inc., and Kemper Securities, Inc. Respondents. REPRESENTATION OF PARTIES Mary S. Looney ("Claimant") was represented by Ron Kent Hooper, Esq., „ Arizona. Shearson Lehman Brothers, Inc. ("SLB") and Timothy J. Riley ("Riley") were represented by Jeff