AWARD \A' A NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants John J. & Theresa T. Kavorkian Case No. vs. 9544247 Name of Respondents PaineWebber, Inc. Robert Thomas Securities, Inc. Thomas Anthony Arpante Nathan & Lewis Securities Inc. For Claimants, John J. Kavorkian and Theresa T. Kavorkian ("Claimants"), David E. Shelleriberger, Esq., and Andrea Manning, Esq., located in Boston, Massachusetts. '

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Neal Scott 95-04242 Name of Respondents Emanuel & Company Eric Emanuel REPRESENTATION For Claimant Neal Scott ("Scott") appeared John E. Lawlor, Esq., a sole practitioner with offices located in Mineola, New York. Respondent Emanuel & Company ("E&C") did not enter an appearance in this matter. For Respondent Eric Emanuel ("Emanuel") appeared Ray Bec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of Claimant Paul L Glass, M.D. 95-04236 Name of Respondent Marion Bass Securities Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 6, 1995, Claimant PaulJ. Glass, M.D. ("Claimant"), who appeared Pro Se, alleged that Respondent Marion Bass Securities Corporation ("MBSC") on Sep

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAUBRS in the Matter of the Arbitration Between Name of Claimant Lee Kaplan 95-04231 Name of Respondent Smith Barney Shearson, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 6, 1995 Claimant Lee Kaplan ("Claimant 1 !), who appeared Pro Se, alleged that he held account #57fr575^2 with Respondent Smith Barney Shearson, Inc., an

K.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald G. Costar 95-04229 Name of Respondents Kemper Securities, Inc. Donald A. Bernard, Sr. Donald A. Bernard, Jr. CASE SUMMARY In a claim filed with the National Association-of'Securities Dealers, Inc. on September 5,1995,1 Claimant^ ^ Donald G. Costar ("Claimant"), alleged that Respondent Kemper Securities, Inc. ("Kemt5e

^, NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. © National Association c f Securities Dealers, Inc. In the Matter of the Arbitration Between AH Rights Reserved Lee Fein Claimant NASD Arbitration v. No. 9504228 A. S. Goldman & Company Respondent REPRESENTATION OF PARTIES Lee Fein ("Claimant") was represented by Patrick N. Keegan, Esq., Krause & Kalfayan, San Diego, California. A. S. Goldman & Company ("Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claim Jacques J. Roomans 95-04223 Name of Respondentfs) C? National Association of Bear Stearns & Company Securities Dealers. Inc. All Riglus Reserved REPRESENTATION For Claimant appeared John T. Morin, Esq. of Wormser, Kieiy, Galef & Jacobs located in New York, New York. For Respondent appeared James, M^Hubbe^ J in New; Ypr

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jacob Berdah 95-04220 Name of Respondents Smith Barney Shearson, Inc. Wesley McKenney REPRESENTATION For Claimant Jacob Berdah ("claimant") appeared Cheryl Dresner, Esq. and Ron Dresner, Esq. of the law firm Dresner & Henle located in New York, New York. For Respondent Smith Barney Shearson, Inc. ("Smith Barney") appeared S

95-04219 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paragon Capital Corporation Name of Respondent Susan Jeanette Reynolds REPRESENTATION For Claimant: David S. Smith, Esq. of the law firm of Smith, Campbell & Paduano, New York, New York. For Respondent: Michael C. Addison, Esq., Tampa, Florida. ;\ : sgkjfts** stv-* ;^^-A ^vur..^:^. • CASE INFORMATION "

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of" the Arbitration Between Name of Claimants Jerry and Linda Kasinger 95-04214 Name of Respondent First Hanover Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September. 5^ 1995, Claimants Jerry and Linda Kasinger ("Claimants"), who appeared Pro Se, alleged that RespofKteni^s h,\ First Hanover Securities, Inc.