AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant First Hanover Securities, Inc. v. - Arbitration No. 96-04727 Name of Respondent Greg Russione, a/k/a Greg M. Ruccione REPRESENTATION For Claimant: David H. Ledgin, Esq. Last Known Representative Garden City, New York For Respondent: No Appearance Entered CASE INFORMATION Statement of Claim received: October 24,

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Philip E. Lian 96-04723 Name of Respondents First Asset Management f/k/a Lew Leiberbaum & Co., Inc. Elliot Gayer Bernard Golembe Fred M. Dorushkin REPRESENTATION For Claimant Philip E. Lian ("Claimant") appeared Richard I. Wolff, Esq. located in New York, New York. For Respondents First Asset Management ("First Asset"), Bernard Golembe ("Golembe

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Roselyn and Joseph Mochon 96-04720 Name of Respondents Fidelity Brokerage Services, Inc. John Allen Wilson Spartan Brokerage REPRESENTATION For Claimants Roselyn and Joseph Mochon ("Claimants") appeared David E. Robbins, Esq.,of the law offices of Kaufmann, Feiner, Yamin, Gildin & Robbins, LLP, located in New York, New York. For Respondents Fid

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Paul M. Higbee 96-04719 Name of Respondent PaineWebber, Inc. REPRESENTATION For claimant Paul M. Higbee ("claimant") appeared James D. Essex, Esq., of the firm Vladeck, Waldman, Elias & Engelhard, P.C., located in New York, New York. For respondent PaineWebber, Inc. ("respondent") appeared Frances M. Maloney, Esq., of the firm Epstein Becker & Green, P.C., locate

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02177 Peter Gruber, MD, claimant vs. Steven R. Kwitel, Drake & Company, Inc., and Paragon Capital Markets, respondents. ATTORNEYS: For Claimant appeared Marc J. Ross, Esq., New York, NY. For Respondents Drake & Company, Inc. and Paragon Capital Markets appeared Michele D. Wessel, in house counsel, New York, NY. For Respondent Steven R. Kwitel appeared Carole R. Bernstein, Esq., Wes

NASD AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Michael Alexander Case Number and 96-04718 Name of Respondent Linwood Bolles First Hanover Securities, Inc. Marion Bass Securities, Inc. REPRESENTATION OF PARTIES For Michael Alexander ("Claimant") appeared?. SterlingKerr, Esq., of Kerr & Associates,located in Las Vegas, Nevada. For Linwood Bolles ("Bolles") appeared Christian R. Troy, Esq.

NASD AWARD NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the Matter of Arbitration Between JAYN. PATEL, Claimant, -and- CREDIT SUISSE FIRST BOSTON CORPORATION, RAYMOND J. DORADO, and GOLDMAN, SACHS & CO., Respondents. CREDIT SUISSE FIRST BOSTON CORPORATION and RAYMOND J. DORADO, Counterclaimants, -and- JAY N. PATEL, Counterrespondent. NASD No. 96-04716 REPRESENTATION For Claimant/Counterrespondent Jay

r NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In .the Matter of the Arbitration Between Name of Claimants Peter L. and Susan G. Lowenfeld CASE No. 96-04705 Name of Respondents Meyers Pollock Robbins, Inc. Dennis R. Roth REPRESENTATION Claimants Peter L. Lowenfeld, Jr. and Susan G, Lowenfeld ("Claimant"): John P. Connolly, Esq. of the Law Offices of John P. Connolly, Alexandria, VA. Respondents Meye

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Berry-Shino Securities, Inc. and 96-04704 Name of Respondent Cathy Schaffer, individually and d/b/af Village Partnership and Mountain High Partnership REPRESENTATION OF PARTIES Berry-Shino Securities, Inc. ("Claimant") was represented by Christopher J. Berry, Esq., Morrison & Hecker, L.LP., Phoenix, Arizona. V Cathy Schaffer

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Prudential Securities Incorporated. Claimant v. 96-04702 Kirk E. Dempsey, Respondent REPRESENTATION OF PARTIES Prudential Securities Incorporated ("Claimant") was represented by Steven P. Gomberg, Esq., Gomberg Kane & Fischer. Ltd., 208 South LaSalle Street. Suite 1800, Chicago, Illinois 60604:' Kirk E. Dempsey ("Respondent") was represented by