AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between The Ohio Company, Claimant and Counter-Respondent, and No. 95-03512 C. David Dickinson, Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant and Counter-Respondent The Ohio Company ("Claimant") was represented by Marion H. Little, Jr., Esquire and John W. Zeiger, Esquire of Zeiger & Carpenter located in Columbus, Ohio. Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Harriman Group, [nc. 95-03506 Name of Respondent David Scott Heredia REPRESENTATION For Claimant the Harriman Group, inc. ("claimant") appeared Leslie K. Case, Esq. -of Gersten, Savage,Kapiowitz & Curtsn, New York, New York. For Respondent David Heredia ("respondent") appeared James R. Leone, Esq. Aitamonte Springs, Flo

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Stephen Hydeck Jr. 95-03505 Name of Respondents J.B. Hanauer & Co. Chris Cooper For Claimant Stephen Hydeck, Jr. ("Claimant") appeared Matthew Farley of the firm Shanley & Fisher located in New York, New York. For Respondents J.B. Hanauer A Co, ("Hanauer") and Chris Cooper ("Cooper"), collectively referred to as "Respondents", appeared

N.A S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Thomas Satdi 95-03503 Name of Respondent John S. Detweiler CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 21, 1995, Claimant Thomas Saldi ("Claimant"), who appeared Pro Se, alleged that Respondent John S. Detweiler ("Respondent"), while employed by Wheat First Securities, improperly executed his instruction to sell 5.000 shares of AM Commun

NASD AWARD \ASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant First Allied Securities, Inc. 95-03500 Name of Respondents H.J. Meyers & Co., Inc. Marion Bass Securities Corporation Pinnacle Securities Craig R. Lodge Name of Third Party Respondent Josepthal Lyon & Ross REPRKSENTATIQN First Allied Seeuriiies, Inc. ("Claimant" or "First Allied") and Josepthal Lyon & Ross (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimants © National Association of Securities Dealers, Inc. All Rights Reserved Alan S. Levine, Holden Raphael Bonnie Raphael, Jason Vccchi, Jeff Cooley and Edward Edelberg Name oi Respondents Prudential Securities, Inc. and Rudy Commans NASD Arbitration No. 95-03495 REPRESENTATION For Claimant: For Respondent :

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: Gideon Azari and Karen Azari 00-05314 Names of the Respondents Hearing Site: Merrill Lynch, Pierce, Fenner & Smith, Inc. and Mark R. Jernigan Boca Raton, PL REPRESENTATION OF PARTIES For Gideon Azari and Karen Azari, hereinafter collectively referred to as "Claimants": Darren C. Blum, Esq., Law Offices of Darren C. Blum, P.A., Plantation, FL. For

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard E, Rice, Claimant. v. No. 95-03494 Gruntai & Co., Inc., and Peter Mark Bizinkauskas, Respondents. REPRESENTATION OF PARTIES Richard E. Rice ("Claimant") was represented by Jane L. Stafford, Esq., of Watson & Marshall. L.C., Kansas City, Missouri. Gruntai & Co., Inc. ("GO") arid Peter Mark Bizinkauskas ("Bizinkauskas") (collectivel

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Hunter, Keith Industries, Inc., Claimant, v No. 95-03491 Piper Jaffray, Inc., and Piper Capital Management, Inc., Respondents REPRESENTATION OF PARTIES Claimant Hunter, Keith Industries, Inc. was represented by Lewis A. Remele, Jr., Esquire of Bassford, Lockhart, Truesdell & Briggs located in Minneapolis, Minnesota. Respondents Piper Jaff

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard and Anna Prignoli 954)3490 of Respondents Gene Kingman South Richmond Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 19, 1995, Claimants Richard and Anna Prignoli ("Claimants"), who appeared Pro Se, alleged that Respondents South Richmond Securities ("SRS"