NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Michael J. Babcock * 95-05691 Jason MacKenzie Securities, Inc. Andrew Cinman William Jackob, Jr. REPRESENTATION Claimant Michael J. Babcock ("claimant") appeared pro se. Respondent Jason MacKenzie Securities, Inc. ("Jason MacKenzie") did not appear at the hearing in this matter. Respondent Andrew Cinman ("Cinman") did not appear at the hearing in this matte

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^) John and Ann Watson Name Raymond, James & Associates, Inc. Investment Management & Research Inc. Charles Brashier 95-05684 REPRESENTATION For Claimants John and Ann Watson ("Claimants"): W. Ronald Waldrop, Esq. of Vestavia Hills, Alabama. For Respondents Raymond James & Associates, Inc. ("Raymond James") and Investmen

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Lombard Securities Incorporated Case No. 95-05679 Name of Respondents Thomas F. White & Co., Inc. Lombard Institutional Brokerage, Inc. REPRESENTATION Lombard Securities, Inc. ("Claimant") was represented by Robert W. Keene, Jr. Esq. of the law firm of Miles & Stockbridge, Rockville, Maryland. Lombard Institutional Brokerage, Inc. and Thomas F. White &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mario Denardi 95-05675 Name of Respondents Jonathan Alan & Co. Joseph Agugliaro CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 4, 1995, claimant Mario Denardi ("claimant"), who appeared Pro Se, alleged that respondents Jonathan Alan & Co. ("JAC") and Joseph Agugliaro ("Ag

NASD REGULATION AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Marian Mancusi Q5-05672 Name of Respondents Smith Barney Shearson, Inc. Stephen A. Renaud REPRESENTATION For Claimant appeared Tedd Belcliti, Esq. a sole practioner located in New York, New York. For Respondents appeared Nicole L. Felton, Esq. of Smith Barney, Inc. located in New York, New York. CASE INFORMATION Statement of Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jay A. Soncrant 95-05671 Name of Respondents Bear, Stearns & Co, Inc. Josephthal, Lyon & Ross, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 4, 1995, Claimant Jay A. Soncrant ("Claimant"), who appeared Pro Se, alleged that Respondent JosephthaJ, Lyon & Ross, Inc. ("

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Louis Monaco Claimant NASD Regulation, Inc. v. No. 95-05669 La Jolla Securities Corporation Marvin Susemihl Bruce Biddick Respondents REPRESENTATION OF PARTIES Louis Monaco ("Claimant") was represented by Invin Stein, Esq., San Francisco, California. La Jolla Securities Corporation and Bruce Biddick ("La Jolla Securities") were represe

NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between John W. Winn, by his legal guardian Donna Anderson, Claimant, v. No. 95-05667 A.S. Goldmen & Company, Inc., Respondent. A.S. Goldmen & Company, Inc., Third-Party Claimant and Third-Party Counter-Respondent, v. Robert DiMinico, and Clifford Mastricola, Third-Party Respondents and Third-Party Counter-Claimants. REPRESENTATION OF PARTIES

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. vs. NASDR Arbitration No.95-05665 Name of Respondent Michael P. Riley REPRESENTATION For Claimant: Jeffrey J. Cole, Esq., Jackson Tufts, Cole & Black, LLP> San Francisco, California For Respondent: Douglas S. Brenner, Esq., Palm Desert, California CASE INFORMATION Statem

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Guiseppe DiRusso and Rosa DiRusso and 01-01105 Southfield, Michigan Roney & Company, Inc. n/k/a Raymond James & Associates, Inc. REPRESENTATION OF PARTIES Guiseppe DiRusso and Rosa DiRusso ("Claimants") were represented by Dennis J. Harris, Esq., Garratt & Bachand, P.C., Bloomfield Hills, Michigan. Roney & Company, Inc. n/k/a Raymond James & Associates, Inc. ("Responden