r N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Hyman A. Lezell 96-01393 Names of Respondents Greenway Capital Corp. Anthony Laurella Joseph Principato REPRESENTATION For Claimant Hyman A. Lezell ("LezelT): William P. McGrath, Jr., Esq. of Porter, Wright, Morris & Arthur, Washington, D.C. For Respondents Greenway Capital Corp. ("Greenway"), Jos

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith, Inc. 96-01391 Name of Respondent Samuel E. Miller REPRESENTATION Claimant Merrill Lynch Pierce Fenner & Smith, Inc. ("Claimant") was represented by Andrew Quigley, General Counsel, Merrill Lynch Pierce Fenner & Smith, Inc., New York, NY. Respondent Samuel E. Mille

N.A.S.D. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Joseph N. DiNatale, Guardian of the Estate of John Muldowney 96-01383 Name of Respondents Chatfield Dean & Company, Inc.; Michael G. Strnad; Sean M. Martin REPRESENTATION For Claimant: Joseph N. DiNatale, guardian of the estate of Joseph Muldowney ("Muldowney") was represented by Joseph T. Moriarty, Esq. of Erb

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between fjame of Claimant Don Wills 96-01382 Name of Respondents MetLife Securities, Inc. Roger T. Everett REPRESENTATION Claimant Don Wills ("Claimant") appeared Pro Se. For Respondents MetLife Securities ("MetLife"), and Roger Everett ("Everett"), appeared Mitchell Elberg, Esq. of the law offices of Alan E. Lazarescu located in New York, New York

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Sheldon S. Cohen, Trustee, of the David H. Kushner Revocable Trust 96-01378 Witter Reynolds Inc. David W. Pear REPRESENTATION Claimant Sheldon S. Cohen Trustee of the David H. Kushner Revocable Trust ("Claimant") was represented by Maurice R. Dunie, Esq. of the law fern of Bulman, Dunie, Burke & Feld, Bethesda

NASD REGULATION, INC. FINAL ORDER NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Julia Casals 96-01375 Name of Respondent Caisse des Depots Securities, Inc. REPRESENTATION For claimant, Julia Casals ("claimant"), appeared Christopher C. Panarella, Esq. of the firm Liddle & Robinson located in New York, N.Y. For respondent, Caisse des Depots Securities, Inc. ("respondent"), appeared Howard J. Rubin, Esq. and

NASD REGULATION AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Interstate/Johnson Lane 96-01374 REPRESENTATION For Claimant, Interstate/Johnson Lane ("Claimant"), appeared, Pamela P. Warnement, Esq., in-house counsel for the claimant located at Charlotte, North Carolina. For Respondent, Geoffrey Nadler ("Respondent"), appeared, William Paul Mason, Esq., of the law firm Weener & Mason located at Atlanta, Geo

r AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. and 01-02012 Phoenix, Arizona Names of Respondents/Counterclaimants Dain Rauscher, Inc. Randolph S. Moore REPRESENTATION OF PARTIES Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Claimant" or "Merrill Lynch") was represented by Michael J. Fortunate and Timothy S. Cole, Rubin & Associa

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between ~Name of Claimant Leonard H. Franks, CPCU & Associates, Inc. Employee Profit Sharing Retirement Plan and 96-01372 Name of Respondent International Assets Advisory Corp.; Kevin Woodbridge. REPRESENTATION OF PARTIES For Claimant: Claimant Leonard H. Franks ("Franks") was represented by Victor J. Schubert, Esq. of Glencoe, Illinois. For Res

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert Jack Smith and No. 96-01371 Name of Respondent Cantella & Company, Nutmeg Securities, LTD, Hubert Roche Securities Corp., Michael Valadimir Lipkin, David J. Grey, Alfred I. Fisher, and Josh Shainberg REPRESENTATIONS PARTIES Robert Jack Smith ("Claimant") was represented by Tracy Pride Stoneman, Esquire of Susemihl & M