AWARD NASD REGULATION, INC. 5n the Matter of the Arbitration Between Name of Claimants Patricia Horigan as Custodian Patricia Horigan Award No. vs. 95-03746 Name of Respondents Smith Barney Shearson, Inc. Mark Perron REPRESENTATION For Claimant, Patricia Horigan, initiated this proceeding individually and as custodian on behalf of Jacqueline, Stephanie, and Christopher Horigan (collectively "Claimants"), appeared Phillip Giordano,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Marc W. Vraciu NASD Arbitration No. 95-03743 Name of Respondents and Third-Party Claimants John H. Dakin Dakin Securities, Inc. Name of Third-Party Respondent Allan G. Bortel REPRESENTATION For Claimant: Gail J. Saliterman, Esq., Chandler, Wood, Harrington & Maffly, San Francisco, California For Respondent

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Steven J. Thurn-Favilla and Julie A. Thurn-Favilla and 01-01928 Minneapolis, Minnesota Name of Respondents First Union Securities, Inc. REPRESENTATION OF PARTIES Steven J. Thurn-Favilla and Julie A. Thurn-Favilla ("Claimants") were represented by Michael S. MacDonald, Esq., St. Paul, Minnesota. First Union Securities, Inc. ("Respondent") was rep

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jack J. Grynberg and 95-03737 Name of Respondent Whale Securities Co., Inc. Wayne Coy REPRESENTATION OF PARTIES Jack J. Grynberg ("Claimant") was represented by Jeff Reiman, Esq. and Jeffrey M. Brenman, Esq., Reiman & Associates, P.C., Denver, Colorado. Whale Securities Co., Inc. ("Respondent Whale") was represented by Da

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between N a me o rjC t a i m a n t Marjoritj Rosenthal Niune_ofJies pon de n t.s ("ovven & Company Michael Tohin. Jr. Allan Iselin 95-03736 REPRESENTATION For Claimant, Marjorie Rosenthal, appeared Richard B. Cohen, Esq., of the law firm Akabas & Cohen located in New York, New York. For Respondents, Cowen & Company ("Cowen''), Michael T

NASD REGULATION, INC AWARD NASD REGULATION, INC, In the Matter of the Arbitration Between Name of Claimants J. Mathis and Lois R. Brown Douglas A. and Elizabeth B, Goodenough 95-03735 Name of Respondents Raymond, James & Associates, Inc. Investment Management & Research, Inc. William Kean & Associates, Inc. William M. Kean REPRESENTATION For Claimants, J. Mathis and Lois Brown and Douglas A. and Elizabeth Goodenough (cbBectiveiy' ^--

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Phillip N. & Judith E. Sublett 95-03729 Name of Respondents Charles J. Givens Kenneth B. Cobb, II Jack W. Dicks Charles C. Smith Delta First Financial, Inc. REPRESENTATION For Claimants, Phillip N. & Judith E, Sublett ("the SublettV): Neal J. Blaher, Esq. of Orlando, Florida. For Respondent, Charles

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant John Harty 95-03726 Name of Respondents Bancomer Securities International Inc. Casa De Bolsa Bancomer. S.A. REPRESENTATION For Claimant, John Harty, ("claimant") appeared Marshall H. Fishman, Esq, of the law firm Rosenman & Colin located in New York, New York and substitute counsel for Lloyd R. Schwed, Esq. of the law firm Hertz, S

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Richard F. Cooper, Jr. 95-03724 Name of Respondents Alex Brown & Sons Incorporated Mark Branigan REPRESENTATION For Claimant Richard F. Cooper, Jr. ("claimant") appeared Jonathan Katz, Esq., of the law offices Jacobs, Grudberg, Belt & Dow, P.C. located in New Haven, Connecticut. For Respondent Alex Brown & Sons, Inc., ("ABS") appeared Daniel Donovan, Esq., Co

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Leon and Dora Under 95-03715 Name of Respondents Smith Barney Shearson, Inc. Stanley Leii'er Irwin Kabat REPRESENTATION For Claimants Leon and Dora Linder ("Claimants") appeared Gary J. Greenberg, Esq. located in New York, New York. For Respondents Smith Barney Shearson, Inc. ("Smith Barney") Stanley Leifer ("Leifer") and Irwin Kabat ("Kabat") (collectiv