Arbitration & Mediation National Association of Securities Dealers, Inc. * NASD Financial Center * 33 Whitehall Street * New York, NY 10004 * Fax 212-858-4429 Washington DC Satellite office at: 1735 K Street, NW - 10th Floor * Washington, DC 20006 * Fax 202-728-6952 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Riley Francisco 96-00202 t Name of Respondents Barren Chase Se

I *- N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael R. Christian 96-00199 Name of Respondents R. J. Steichen & Company Kerry Hiben CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 16, 1995, Michael R. Christian ("Claimant"), who appeared Pro Se, alleged that Respondents RJ. Steichen & Company ("RJS") and Kerr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Tim Keyes 96-00186 Name of Respondents Vision Investment Group Chris Wolf REPRESENTATION Claimant, Tim Keyes, appeared pro se. Respondents, Vision Investment Group and Chris Wolf, did not appear at the evidentiary hearing conducted in this matter. CASE INFORMATION Statement of Claim filed: January 11, 1996 Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant(s) Brian P. Lamp NASD Arbitration v. No. 96-00183 Name of Respondent(s) Oak Ridge Investments, Inc. and David D. Ryan REPRESENTATION For Claimant Brian P. Lamp: Samuel Ynzunza, Esq. Denver, Colorado For Respondent Oak Ridge Investments, Inc.: Alan E. Molotsky, Esq. and Hogan, Marren & McCahill, Ltd. Chicago, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Suzanne Higgins 96-00175 Name of Respondent Wheat First Securities. Fnc CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on January 12, 1996, claimant Suzanne Higgins ("claimant") who appeared Pro Se, alleged that respondent Wheat First Securities, Inc. ("Wheat") used erroneous l

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elizabeth D. Meehan 96-00167 Name of Respondents Schroder Wertheim & Co., Inc. Dickinson & Co. Kethe A. Cicconi William Alan King REPRESENTATION Claimant Elizabeth D. Meehan ("Claimant") was represented by Alfred J.T. Rubega, Esq., Concord, NH. Respondents Schroder Wertheim &. Co., Inc. ("Schroder") and Dicki

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Comprehensive Capital Corp 96-00164 Name of Respondent Robert Blair Keon, Jr. REPRESENTATION For claimant Comprehensive Capital Corporation ("claimant") appeared Steven Kovorkian, CFO of Comprehensive Capital Corporation. Respondent Robert Blair Keon, Jr. ("respondent") did not enter an appearance in this matter. CASE INFOR

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. TNf! In the matter of the Arbitration Between Name of Claimant Everen Securities, Inc. Name of Respondent Thomas N. Zirbel NASD Arbitration No. 96-00158 For Claimant: For Respondent: REPRESENTATION Ronald P. Kane, Esq. Gomberg, Kane & Fischer, Ltd. Chicago, Illinois Otto K. Hilbert, II, Esq. LeBoeuf, Lamb, Greene & MacRae, L.L.P. Denver, Colorado CASE INFO

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Erol and Ayten Cannoyan 96-00135 Name of Respondents PaineWebber, Inc. Gruntal & Co., Inc. Stephen McDermott Fatih Cannoyan REPRESENTATION For Claimants Erol and Ayten Cannoyan ("Claimants") appeared Charles R. Van de Walle, Esq., of the law firm Martin, Van de Walle, Donohue, McGahan & Catalano, located in Jericho, New York. For Respondent

REPORT OF ARBITRATORS NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Leonard M Loniewski and Sherry D. Loniewski and 96-00125 Name of Respondent Joseph Stevens & Company, LP Mitchell Mullen Joseph Sobarra ____ DISCIPLINARY REFERRAL ^ : ;;r:4-.^Y';^ investigate me following for potential violations of the Rules of Fak Practice/ During the c6ws&of^^';^M-noV - r