N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Michael H, Weisser 96-01883 Name of Respondent Smith Barney Inc. REPRESENTATION For Claimant Michael H. Weisser ("Weisser"): Curtis Carlson, Esq. of Carlson & Bales, P.A., Miami, Florida. For Respondent Smith Barney, Inc. ("Smith Barney"): Susan E. Harkins, Esq. of Smith Barney, Inc., New York, New York.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hugh T. Tomlinson 96-01876 Name of Respondents Bear Stearns & Company Doran Haynte CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on May 2, 1996, claimant Hugh Tomlinson ("claimant"), who appeared Pro Se, alleged that respondents Bear Sterns & Co., Inc. ("Bear Sterns

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Cynthia Savarese Rosier 96-01863 Name of Respondent Dave Connochie CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on April 30, 1996, claimant Cynthia Savarese Rosier ("Claimant"), who appeared Pro Se alleged that on March 30, 1993 Respondent Dave Co

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Yan Yong and Daranee Prakalapakorn and Ness City Medical PA Defined Benefit Trust vs. 96-01860 Name of Respondents Raymond, James & Associates, Inc. Harold T. Pearce Investment Management & Research, Inc. Estate of David King REPRESENTATION Claimants Yan Yong and Daranee Prakalapakorn and the Ness City Medical PA Defined Benefit Trust ("Claiman

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants James and Agnes Kane vs. 96-01856 Name of Respondents Bernard Herold & Co., Inc. ^ Theodore Madsen REPRESENTATION For Claimants James and Agnes Kane ("Claimants") appeared Simon S. Kogan, Esq., a sole practitioner located in New York, New York. For Respondents Bernard Herold & Co., Inc. ("Bernard") and Theodore Madsen ("Mad

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Paul and Diane Roman 96-01854 Name of Respondents First Institutional Securities, LLC Eric Swain REPRESENTATION For Claimants Paul and Diane Roman ("Claimants") appeared Thomas W. Williams, Esq., a sole practitioner with offices in Mahwah, New Jersey. For Respondents First Institutional Securities, LLC ("First Institutional

AWARD NASD Regulation, Inc. Office of Dispute Resolution IN THE MATTER OF ARBITRATION BETWEEN PRUDENTIAL SECURITIES INCORPORATED, Claimant No. 96-01848 v. DANIEL J. RETZINGER Respondent REPRESENTATION OF PARTIES Claimant Prudential Securities Incorporated ("Prudential") was represented by Michael A. Kraft, Esq., Gomberg Kane & Fischer, Ltd., 208 South LaSalle Street, Suite 1800, Chicago, Illinois 60604. Respondent Daniel J. Retzinger ("R

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ronald Broadstone 96-01844 Name of Respondent The Ohio Company REPRESENTATION For claimant Ronald Broadstone ("claimant") appeared H. Ritchey Hotlenbaugh, Esq., of the law firm of Draper, Hollenbaugh & Broscoe Co., L.P.A., locate in Columbus, Ohio. For respondent The Ohio Company ("respondent") appeared Marion H. Little, Jr., E

N.A.S.D. AWARD f NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Frank and Pat Ferraro 96-01843 Name of Respondents Summit Financial Securities, Inc. Jerry Wolf Summit Financial Strategies, Inc. REPRESENTATION For Claimants Frank and Pat Ferraro ("Claimants") appeared David G. Cohen, Esq. located in Buffalo, New York. For Respondents Summit Financial Securities, Inc. ("Summit"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-02052 William R. and Marion Eggers William R. Eggers IRA Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc. Daniel Ruffier William R. and Marion Eggers (the "Claimant Eggers"), and William R. Eggers IRA (the "Claimant Eggers IRA"), hereinafter collectively referred to as th