N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Regina M. DelSignore 93-04730 Name of Respondent Smith Barney Shearson, Inc. REPRESENTATION OF PARTIES Claimant Regina M. DelSignore ("DelSignore") was represented at the hearing by James T. Haynes. Esq. of Stapleton Nolan & McCall P.A., St. Paul, Minnesota. Respondent Smith Barney Shearson, Inc. ("Smith Barney") was represente

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Victor H. Hemmy, Sr. Florence S. Hemmy Victor H. Hemmy, Jr. Candace P. Hemmy NASD Arbitration No.93-04729 Name of Respondents Prudential Securities, Inc. First Honolulu Securities, Inc. Gregory F. Kowal RFJ»RKSENTATTQN For Claimants: Cedric Choi, Esq., Honolulu, Hawaii For Respondents: Prudential Secu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Applied Photonics, Inc. 93-04716 Name of Respondent Thomas James Associates, Inc. REPRESENTATION For Claimant Applied Photonics, Inc. ("Claimant") appeared Thomas V. Dana, Esq., a sole practitioner located in New York, New York. For Respondent Thomas James Associates, Inc. ("Respondent") appeared Susan A. Roberts of the law fir

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between N.ame.of Claimant William P. Wilson 93-04714 Name of Respondent Smith Barney Shearson, Inc. REPRESENTATION For Claimant William P. Wilson ("Claimant") appeared Robert Tofel, Esq. and Jamie Batterman, Esq., of Tofel Berelson P.C. located in New York. .1 3 .- For Respondent Smith Barney Shearson, Inc. ("Respondent") appeared its repres

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Wit Soundview Group, Inc., (Claimant) vs. Cabot Money Management, Inc., (Respondents) Case Number: 01-02831 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Wit Soundview Group, Inc., hereinafter referred to as "Claimant": Scott S. Balber, Esq., Chadbourne & Parke LLP, New York, NY (Mr. Balber was with the law Finn of Kelly & Balber LLP, New York, NY, when this c

NASD REGULATION AWARD AFTER REMAND In the Matter of the Arbitration Between Name of Claimant Raymond M. Weinstein 93-04713 Najyie nf Respondents Brokers Exchange, Inc. Anna Marie Rumsey Donald B. Harris Southern Financial Group, Inc. REPRESENTATION For Claimant Raymond M. Weinstein ("claimant' 1 ) appeared Steven Kapustin, Esq., of Heller, Kapustin Gershraan &. Vogel located in Blue Bell, Pennsylvania. For Respondent Brokers

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant fa) James S. Weintraub, M.D. Name of Respondent(a 1 PaineWebber Incorporated Jack Noe Ken Blumenfeld Martin Herman NASD Arbitration No. 93-04710 REPRESENTATION For Claimant: James S. Weintraub, M.D., Westlake Village, California For Respondents: Catherine J. Pratt, Incorporated, Los Angeles, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Georgia Johnson vs. 93-04709 Names of Respondents First of Michigan Corporation; Thaddeus M. Mirochna REPRESENTATION For Claimant: Georgia Johnson ("Johnson") of Detroit, Michigan was represented at the hearing by Donald B. Greespon, Esq., of Greespon, Scheff & Washington, P.C., Detroit, Michigan. For Respondents: Fir

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Raymond James & Associates, Inc. 93-04708 Njune of Respondent(s) Robert A. Gist REPRESENTATION For Claimant Raymond James and Associates, Inc. ("Raymond James"): John N. Critchlow, Esq. in-house counsel at Raymond James and Associates, Inc. For Respondent Robert A. Gist: Richard W. Jones, J3sq. of the law firm of Perrie,

JUN.22.1998 10:31flM NflSD REGULfiTION FL N0.220 P.8 NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Lorraine Hochman Case No. 93-04703 Names of Respondents Barren Chase Securities Neal Moskowitz REPRESENTATION OF PARTIES For Claimant Donald R. Spadaro, Esq., of the Law Offices of Donald R. Spadaro, Fort Lauderdale, Florida. For Respondent Barren Chase Securities ("BCS"): Eugene Michael K