A S n AWAPn NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Park Nicollet Medical Foundation 95-00139 Names of Respondents Piper Jaffray, Inc. and Piper Capital Management, Inc. REPRESENTATION Claimant, Park Nicollet Medical Foundation was represented by Mark J. Briol, Esq. of Mark J. Briol & Associates, Minneapolis, Minnesota. Respondents, Piper Jaffray, Inc. and Piper Capital Managem

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Ronald L. Schuchman V. 00-03783 Denver, Colorado Respondents Dean Witter Reynolds, Inc., k/n/a Morgan Stanley Dean Witter, Inc. and Marc F. Rogers REPRESENTATION OF PARTIES Ronald L. Schuchman ("Claimant") was represented by William R. Rapson, Esq., of Welborn Sullivan Meek & Tooley, Denver, Colorado. Dean Witter Reynolds, Inc., k/n/a Morgan Stanley Dean

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Bernard B. Cohen 95-00138 Name of Respondents) Doft &Co., Inc. AlanDoft REPRESENTATION For Claimant Bernard B. Cohen ("Cohen") Mr. Howard S. Eilen, Esq. of Lehman & Eilen Uniondale, NY. For Respondents Doft & Co. and Alan Doft ("Doft"): Mr. Gary J. Mennitt, Esq. of Shereff, Friedman, et. al, New York, NY. CASE INF

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Lawrence C. Miller Eloise Miller 95-00134 Name of Respondents PaineWebber, Inc. Clarence Catallo, Jr. REPRESENTATION Claimants Lawrence C. Miller and Eloise Miller ("Claimants") were represented in part by Dennis Concilia, Esq., Columbus, OH and appeared pro se for the remainder of the hearing. Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants PaineWebber, Inc. 95-00133 Name of Respondents Angelo J. Mandarano REPRESENTATION For Claimant PaineWebber, Inc. ("Claimant"), appeared Scott S. Stechman, Esq. from the law firm of Smith Campbell & Paduano, located in New York, New York. For Respondent Angelo J. Mandarano ("Respondent"), appeared Vince Reppert, Esq. from the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Alien Landers and Allen Landers, trustee Allen Landers M.D., P.C. Retirement Plan and Trust 95-00131 Name of Respondents Royce Investment Group, Inc. John D. Higgins Edward Rose REPRESENTATION For claimants Allen Landers ("Landers") and Allen Landers, trustee Allen Landers M.D., P.C. Retirement Plan and Trust appea

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Richard M. Kanold, Claimant, v. NASD No. 95-130 Gene L. Roach, V. Eric Roach, Wilshire Discount Securities, a division of Robert Scott Securities, Inc., Wilshire Discount Securities, Ralph T. Lachman, Robert Bronfman, Dr. Donald Chalmers, Wilshire Commercial Group, Ltd., Wilshire Futures, Inc. and Wilshire Clearing, Inc., Respondents. Repres

t 1 N.A,:~. J ,\Vv NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Aian ar-J Brenda Terry 95-00127 Name of Respondents') Olde Discount Corporation REPRESENTATION For Claimants Alan and Brenda Terry: Jeffrey R. Nickerson, Esq., Atlanta, Georgia. For Respondent Olde Discount Corporation: Timothy L. Isom, Esq., in-house counsel CASE INFORMATION Statement of Claim filed: January

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS 95-00121 In the Matter of the Arbitration Between Name of Claimant(s) Irving M., Hatties P. & Ellis P. Hyman Name of Resoondentf si Scott Waterbury REPRESENTATION Claimants, Irving M, Hatties P. and Ellis P. Hyman ("the Hymans For Respondent, Scott Waterbury ("Waterbury"): Nicholas Chopey New York, New York. CASE INFORMATION Statement of Claim filed: January 9, 1995. Claimants

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William J. Turkowski Award No. vs. 95-00120 Name of Respondent Cartwright & Walker Securities, Inc. REPRESENTATION Claimant, William J. Turkowski ("Claimant"), appeared Pro Se. There was no appearance by, or on behalf of, Respondent Cartwright and Walker Securities, Inc. ("Respondent"). CASE INFORMATION Statement of