Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimant Jay Mark Miller v. Respondent CISC World Markets Corp., D/B/A/ CIBC Oppenheimer Capital, and Oppenheimer Capital Case Number: 01-Q2Q40 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Jay Mark Miller hereinafter referred to as "Claimant," was represented by Geraldo Garcia, Esq. of Schwartz, Junell, and Campbell & Oathout LLP, of Houston, Texas.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Mervin R. Buckwalter 96-01619 Name of Respondents Sovereign Equity Management Corp. Frank Rosso ^" REPRESENTATION Claimant Mervin R. Buckwalter appeared pro se. IJesppndentSovereign.Equity Management Corp. ("Sovereign Equity") was represented]?y Thpmas W. Hands, Sovereign Equity Management Corp.,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant . - Regina T. Heidler 96-01618 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Robert A. Bowen REPRESENTATION Claimant Regina T. Heidler ("Claimant") was represented by David W. Mersky, Esq., Appel & Yost, Lancaster, PA. Respondents Merrill Lynch Pierce Fenner & Smith ("MLPFS") and

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Edith L. Lavers v. Name of Respondents Pacific Coast Financial Securities, Inc., Scott A. Presta, Alan Lund, Don Tullio Morandini, and Thomas Cans Arbitration No. 96-01611 REPRESENTATION For Claimant: For Respondent Alan Lund: Paul W. Thomas, Esq. Law Offices of Paul W. Thomas Carlsbad, California Br

yr; •-?/, / / ^ !. .' NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Louis J. and Lillian Fiorentini 96-01609 Names of Respondents Jeffrey M. Schuler Nico P. Prank Noble Investment Company of Palm Beach For Claimants: Charles J. Kane, Esq., of the law firm of Greenspan & Kane, Boca Raton, FL. For Respondents Noble Investment Company of Palm Beach ("Noble"),

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant E. Boyd Taylor as Trustee for the E, Boyd Taylor Family Trust 96-01605 Name of Respondent Piper Jaffray, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 12, 1996, Claimant E. Boyd Taylor as Trustee for the E. Boyd Taylor Family Trust ("Claimant"), who appeared Pro Se, al

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Monte S. Meltzer 96-01598 Name of Respondent Ronald J. Geraci Ronald Greenspan PCM Securities Limited REPRESENTATION Claimant Monte S. Meltzer ("Claimant") appeared pro se. Respondent Ronald J. Geraci ("Geraci") did not appear at the hearing. Respondents Ronald Greenspan ("Greenspan") and PCM

- * N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James W. and Viola A. Cope 96-01596 Name of Respondents Stratton Oakmont, Inc. Biltmore Securities, Inc. J.B. Oxford & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 12, 1996, Claimants James W, and Viola A. Cope ("Claimants"), who appeared Pro Se, alleged that

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Donna L. Brennan 96-01593 Name of Respondents ^< ~First Albany Corporation Northeast Brokerage Services Corporation Bruce Heines REPRESENTATION For claimant Donna L. Brennan ("claimant") appeared Frances Farber-Walter, Esq. of die law" firm of Deutsch Resnick Savits Green & Kiernan located in Hackensack, New Jersey. ^ For respondents First Albany Corporation (

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) William R. Hatch Arbitration No. 96-01571 Name of Respondent(s) Raymond James & Associates, Inc. RE PRE S ENTATION For Claimant: Irving M. Einhorn, Esq., Einhorn & Edgerton, Los Angeles, California For Respondent: John N. Critchlow, Esq., Raymond James & Associates, Inc., St. Petersburg, Florida CASE INFORMATION