N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs') Martin A. Berger DSG, Inc. Profit Sharing Trust Ron R. McDonald Phyllis Weiser 93-01045 Name of Respondent^} Raymond, James & Associates, Inc. Robert Dressier Francis S. Godbold Thomas A. James Jeffrey P. Julien Ronald L. Miller Robert McKown, Jr. REPRESENTATION For Claimants: Robert H. McKnight,

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Ferdinand A. Neidhardt and Erich Hoepfer v. 93-01029 Names of Respondents Oppenheimer & Co., Inc., Stephen R. DeSimone, Friedrich Herriing, Gerard Biemer, Ursula Herriing, Euro-American Funding, Inc. (a/k/a Europaische Finunzerings, Inc.), and Bonus Finanzierungsvermittlung Ursula Herriing GmbH REPRESENTATION For Claimants Ferdinand A. Neidhardt and Erich

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Charles and Lavella Moore and 93-01001 Name of Respondent Kinlaw Securities Corp. Joe D. Kinlaw REPRESENTATION OF PARTIES Charles and Lavella Moore ("Claimants") were represented by Charles M. Hamilton, Esq., Law Offices of H. Dawson French, Dallas, TX. Kinlaw Securities Corp. ("Respondent KSC") and Joe D. Kinlaw ("Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants ^CEmanuel and Company Paragon Capital Corporation 93-00991 Name of Respondent Oscar Gruss & Son, Inc. REPRESENTATION For Claimant Paragon Capital Corporation: Michelle D. Wessel of Paragon Capitol Corporation, New York, New York. For Claimant Emanuel and Company: Mark J. Astarita, Esq., New York, New York. For Responde

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. and 93-00978 Name of Respondent Daniel Arsenault REPRESENTATION OF PARTIES PaineWebber, Inc. ("Claimant") was represented by Joseph A. Vallo, Esq., PaineWebber, Inc., Miami, Florida. Daniel Arsenault ("Respondent") appeared pro se. CASE INFORMATION The Statement of Claim was filed on or about March 1

I'm N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name °f Claimants Edward C. Evenson Harriet N. Evenson NASD Arbitration Evenson Revocable Trust No. 93-00971 vs. Name sf Res Shearson Lehman Hutton, Inc. Bateman Eichler, Hill Richards, Inc. Kemper Securities, Inc. John Brickley REPRESENTATION For Claimants: Craig L. Judson Esq., - Bold, Poisner, Maddow, Nelson & Judso

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants 99 Commercial Street Inc. Martin Kennedy Clark McLain 93-00970 Name of Respondents Gary M. Goldberg Gary Goldberg & Co.. Inc. For Claimants 99 Commercial Street, Inc., Martin Kennedy, and Clark McLain (hereinafter collectively referred to as "Claimants") appeared Joseph F. Keenan, Esq. of the law firm of Bochat & Keena

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants George F. Haltom and Joyce M. Haltom 93-00950 Name of Respondents Blunt, Ellis & Loewi, a division of Kemper Securities, Inc.; Steven R. Middendorf REPRESENTATION For Claimants: George F. Haltom and Joyce M. Haltom ("Haltom") were represented by Charles A. Siegel m, Esq. of Siegel & Wolff, P.C., located in St. Louis, Misso

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SFCT TRTTTES DFAT.ERS. INC. In the matter of the Arbitration Between Name of Clairnant Wedbush Morgan Securities, Inc. Name of Respondent Joel Kaplan NASD Arbitration No.93-00932 For Claimant; Marie Eaton - Wedbush Morgan Securities, Inc. For Respondent: No appearance. CASE INFORMATION Statement of Claim filed: March 11, 1993 Claimant's Submission Agreement signed: March 1, 1993 Statement of

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-02571 Emile Wanich RhodaWanich Names of the Respondents Hearing Site: Boca Raton, Florida Benson York Group, Inc. Gregory E. Goldstein Michael H. Caldera Steven J. Cohen Bradford A. Miller REPRESENTATION OF PARTIES For Emile Wanich and Rhoda Wanich, hereinafter collectively referred to as "Claimants": Lawrence L.