N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jordon Kreiner 93-04557 Name of Respondents Kevin Cesioio O'Dowd The Robinson-Humphrey Company, Inc. REPRESENTATION For Claimant, Jordan Kreiner ("Claimant"), appeared Mark Pearlstein, Esq., from Stuart D. Fiel & Associates located in Philadelphia, PA. For Respondent, Kevin C. O'Dowd and The Robinson-Humphrey Company, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name qf Claimant Eugene D. Miller 93-04555 Name of Respondents Branch, Cabell & Company Roger D. von Seldeneck Daniel E. Grandstaff REPRESENTATION Claimant Eugene D. Miller ("Miller") was represented at the hearing Pro Se. Respondents Branch, Cabell & Company ("Branch Cabell"), Roger D. vonSeldeneck ("vonSeldeneck"), and Daniel E. Grand

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS I 0 In the Matter of the Arbitration Between Name of Claimants Richard J. Liberante and Mary David 93-04548 Name of Respondents A.G. Edwards & Sons, Inc. Peter Barrett REPRESENTATION For Claimants Richard J. Liberante ("Liberante") and Mary David ("David"): Timothy L. Burke, Esq. of UAW Legal Services Plan located in Cheektowaga, New York. For Respondent A.G. Edwards & Sons, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Daryl L. James, Jr., Trustee of the Daryl L. James, Sr. Living Trust Dated October 8, 1985 NASD Arbitration No. 93-04541 Name of Respondent (s) Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION For Claimant: Paul N. Young, C.E.O., Securities Arbitration Group, Inc., Marina del Rey, California » Fo

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jerry F. Sullivan and 93-04535 Naipe of Respondents ^""^ Neidiger, Tucker, Bruner, Inc. and Gary A. Silvestri REPRESENTATION OF PARTIES Jerry F. Sullivan ("Claimant") appeared pro se. Neidiger, Tucker, Bruner, Inc. and Gary A. Silvestri ("Respondents") were represented by Frank W. Visciano, Esq., Senn Lewis Visciano &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Fred V. and Ann L. Nichols 93-04519 Name of Respondent Raymond, James & Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 1, 1993, Claimants Fred V. and Ann L. Nichols, who appeared Pro Se, alleged that Respondent Raymond, James & Associates, Inc. misrepresente

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Oppenheimer & Co., Inc. 93-04518 Name of Respond_ent Michael Rohdenberg REPRESENTATION For Claimant:: Oppenheimer & Co., Inc. ("Oppenheimer") wasrepresented by Joseph F. Keenan, Esq., of Bochat & Keenan, P.C., located in Garden City, New York. For Respondent: Michael Rohdenberg ("Rohdenberg") did not appear. CASE INFORMATIO

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: PaulD. Svigos vs. Case No. 93-04516 Hearing Location: Chicago, Illinois Merrill Lynch Pierce Fenner & Smith Inc. REPRESENTATION OF PARTIES Claimant Paul D. Svigos ("Svigos") was represented by Jeffrey L. Liddle, Esq. of Liddle & Robinson, located in New York, New York. Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") was represented by Peter

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Smith Barney 93-04508 Name of Respondent^) Gibraltar Securities Co. David- D'Arcangelo Jeffrey Brewer McAleney REPRESENTATION For Claimant Smith Barney ("Smith Barney") appeared Anthony Paduano of the law firm Smith Campbell & Paduano located in New York, N.Y. For Respondent Gibraltar Securities Co. ("Gibraltar") appe

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: UBS PaineWebber, Inc., Claimant, Vs. Case Number: 01-02818 Daniel J. Kanabroski, Respondent, Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimant was represented by Lisa A. Catalano, of the Law Offices of Davidson, Manchel & Brennan, LLP, in New York, New Jersey and Massachusetts. Respondent Daniel J. Kanabroski appeared pro se.