N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimant First Albany Corporation 94-03710 Name nf Respondent Theodore Levy REPRESENTATION For Claimant Fiist Albany Coiporatioa ("Claimant") appeared Arthur F. Dicker. Esq., Associate General Counsel of First Albany Coiporatioo.. Respondent Theodore Levy ("Respondent") did not appear at the hearing. < ;AS^ INTOBMATIfff^ Statemen

N.A.S.D. AWARD NATIONAL AgSOCIATION OF SECURITIES DEALERS Kenneth R. Carlile, and Jean W. Carlile, Claimants, V. No. 94-03709 Principal Financial Securities, Inc., Robert Goodwin, Leroy Ruiz, and Kathleen Michael, Respondents. REPRESENTATION OF PARTIES Claimants Kenneth R. Carlile, and Jean W. Carlile ("Claimants") appeared on their own behalf. Respondents Principal Financial Securities, Inc. ("PFS"), Robert Goodwin ("Goodwin"),

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Laura A. Park 94-03705 Name of Respondent(5) First Union Brokerage Services, Inc. REPRESENTATION For Claimant, Laura Park ("Park"): Jonathan Alpert, Esq. of Alpert, Barker & Calcutt, P.A., Tampa, Florida. For Respondent, First Union Brokerage Services, Inc. ("FUBS"): Gary Sasso, Esq. and Mary Scriven, Esq. of Carlton, Fi

NATT^-NAT. ASSOCTATIOW G? gECTOITTES DEALERS. INC. In t.^.e master of the Arbitration Between Name of riaimanr. f g> L.H. Alton & Co. Name of Respondentfs) John Wong NASD Arbitration No- 94-03704 For Claimant: William M. Ziering, Esq.; San Francisco, California For Respondent: - Anthony M. Englese, Bsq., San Francisco, California PAflg TCTQBMATTOW Statement of Claim filed: September 5, 1994 Answer of Claimant to Counterclaim filed: J

NASD Arbitration No. 94-03703 N.A.g.P. AWARD MATTONAT, ASfinrTATTOIST OF RKCimiTTES DEALgRS. IMf:. In the matter of the Arbitration Between Name of Claimant fa) L.H. Altun & Company Name o£ Respondentfs) Richard w. Davis RB&RHSgMTATIQN For Claimant: William M. Ziering, Esq., San Francisco, California For Respondent: Anthony M, Englese, Esq., San Francisco, California CASH TMFQRMATTOM Statement of Claim filed: September 6, 1994

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitratioa Betweeti Name of Claimant J. Edmund & Co. Award No. vs. 94-03701 Name of Respondent Hanover Sterling & Co. Inc. REPRESENTATION For Claimant, J. Edmund &, Co. ("Claimant") John E. Ligums. Esq.. in-house counsel, located In Milton, Massachusetts. Respondent, Hanover Sterling & Co.. Inc. ("Respondent"), did not appear at the hearing. (See Other Is

K.A.S.I) -WVAkl.) WTIDNAL ASSOCIATro.N OF SKCL'KITIKS DKALKRS M4'0Jfi% in i;u' M:'.iicr of the Arhiiration Hf!Wrt:n Iri-iicri-wk L. tUiratk N'aine ft' Rc.s;"tnJtfms Ruherr M. ri)lien & Co., Inc. Mark Charle'* SL-h:Jrhi-« IVlcr .liisc:pl) Cnrrao :>I>IV.IIL1 Drum REPRKSKViATION ^•iT fl.iiinjini tTLtierick L. Hnrack (••C"l;ii!n:!n;'i apptMru;] Ai^Dlph l>. Sult/cr. Rsq. a suli' praclitiiiiior loi-aioJ in New York. New York. Knr Respi

N.A.S n .WVARH NATIONAL ASS< K lATION OF SKCUHITII^S DKALKKS In the Matter n!" ihc Arhiiriuion Hetwccii Na^ne t>J|(.'l;jiin;uu JeO" FeWman 94-03869 Name of Kesnoiidents Smith Bamcy Shcar.'Jon. Inc. Teter Hftttiigliu REPRESENTATION For Claimant, Jeff Fcldman ("Feldman"): Michael R. Casey, Esq. of Casey and Molchan in Fort Lauderdale, FL. For Respondents, Smith Bamcy Inc. ("SmithBamey") and Peter Batlaglia ("Batlaglia"): Susan v.. I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf th^ Claimants Case Number: 01-04406 Joseph M. Paniello, Individually, as Personal Representative of the Estate of Marie Louis Mackie Paniello, and as Trustee U/W of Perle Mackie dtd 2/2/65, Perle P. Hicks, J. Mackie Paniello, Anne P. Dykeman Revocable Trust, and Louise P. Matthews, Individually and as Trustee of the Louise P. Matthew Revocable Trust Name of the R

Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gilbert J. Fiorentino, Claimant v. GKN Securities Corp., Robert H. Gladstone, Vincent M. Bruno, Eric C. Citrin, and Dennis Frelinghuysen, Respondents Case Number: 01-04404 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Gilbert J. Fiorentino, hereinafter referred to as "Claimant": Robert H. Weiss, Esq., Robert H. Weiss & Associates, P.C., Jericho,