NASD FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Oliver W. Chisum and Name of Respondent.*; Bud Amett Tom Amett Principal Financial Securities, Inc. NASD Case Number: 95-02210 REPRKSENTATION OF PARTIES Claimant, Oliver W. Chisum appeared pro se. Respondents, Bud Amett, Tom Amett and Principal Financial Securities, Inc. were represented by Stephen D. Howen, E

N.A.S.D. REGULATION, INC., DISPUTE RESOLUTION ARBITRATION AWARD In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Kemper Securities, Inc. 95-02173 Name of Respondent/Counter-Claimant Michael D. Spehar REPRESENTATION For Claimant/Counter-Respondent: Kemper Securities, Inc. ("Kemper") was represented by Ronaid P. Kane, Esq. of Gomberg, Kane & Fischer, Ltd., located in Chicago, Illinois. For Respondent/Counter-Claimant

N.A.S D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between 'Name of Claimant Richard W. Sears 95-02170 Name of Respondeiits .losephthal. Lyon & Ross, Inc. Joseplithal & Co.. Inc. Jesup. Josephthal & Co., Inc. .lohin Patrick Moran REPRESENTATION For Claimant Richard W. Sears ("claimant") appeared Jerome Olitt, Esq. of Arbitration and Mediation Specialists, Inc. located in Stamford Connecticut.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Land Transfer Co., Inc. 95-02106 Name of Respondents Wheat First Securities, Inc. Timothy K. Hogentogler REPRESENTATION Claimant Land Transfer Co., Inc. ("Claunant") was represented by Steven R. Blair, Esq., Solove & Blair, Lancaster, Pennsylvania. Respondents Wheat First Securities, Inc. ("Wheat") and Tunothy K. Hogentogler

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Estate of John J. Berilla, by its personal representative, John P. Berilla, Claimant, vs. Gilford Securities, Inc. and Jeffrey Nunez, Respondents. Case Number: 97-04109 Hearing Site: St. Louis, Missouri REPRESENTATION OF PARTIES Claimant, Estate of John J. Berilla, by its personal representative, John P. Berilla, hereinafter referred to as "Claimant" was represented by Joseph F. Dever

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Glenn L. Smith, and Marjorie A. Smith, Claimants, No. 95-02043 R.G. Dickinson & Co., WiUiam N. Goodwin, Kendrik E. Packer, and John Boesel, m. Respondents. REPRESENTATION OF PARTIES Claintiants Glenn L. Smith and Marjorie A. Smith were represented by Robert M. Roth, Esquire of R.M. Roth & Associates located in Appleton, Wisconsin. Respondent R

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Gaievieve Suba, John Msniewski (Power of Attorney), Claimant V. No. 95-02060 Republic Securities, Inc., and Leo Hejmanowski, Respondents. REPRESENTATION OF PARTIES Claimant Genevieve Suba was represented by Steven Samson, Esq. of Law OfiBces of Steven Samson located in Evanston, Illinois. Respondent Republic Securities, Inc. ("Republic") was r

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Robert Hicks, Claimant, No. 95-02016 Oppenheimer & Co., Inc. and Michael Ward, Respondents. REPRESENTATION OF PARTTF-< ; Claimant Robert Hicks was represented by Stuart R. Berkowitz, Esquire of Platke and Berkowitz located in St Louis, Missouri. Respondents Oppenheimer & Co., Inc. and Michael Ward were represented by Mark Kaplan, Esquire o

N.A.S.D. AWARD MATIOMAL ASSOCIATION OF SECDRITIES DEALERS In the Matter of the Arbitration Bet:ween Wape of Claimants Dr. Roy C. & Prescilla E. Gomez 95-02009 Name of Respondents PaineWebber, Inc. Rebecca Vandagriff REPRESENTATION The Claimants Dr. Roy C. and Prescilla E. Gomez ("Claimants") were represented by John P. Connolly, Esq., of the Law Offices of John P. Connolly, Alexandria, VA. The Respondents PaineWebber, Inc. ("PaineWebbe

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Names of Claimants Francisco and Gloria Moreno Trustees of The Francisco Luis Moreno Revocable Trust Case No: 97-04108 Names of Respondents John Hancock Distributors, Inc. Jay Gelfenbaum Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For :Francisco and Gloria Moreno, Trustees of the Francisco JLuis Moreno Re vocable'Trust, herein