NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Neal R. Zwicker Name of Respondents Southwest Securities, Inc. Greenway Capital Corp. Jeffrey Peter Ihm T L Group, Inc. Johnston Kent Securities, Inc. J.B. Oxford-fipmpany: Long Island Investment Group 96-01560 REPRESENTATION For Claimant Neal R. Zwicker ("claimant") appeared Andrew Rainer, Esq. of the law offices Shapiro, Haber & Urmy, LLP locate

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Charles V. Bentley, Claimant, and No. 96-01557 Financial Planning Consultants, Inc., Robert W. Waugh, Lars D. Omlid, and Kingsley O. Wright, Sr., Respondents. REPRESENTATION OF PARTIES Claimant, Charles V. Bentley, was represented by Clifford B. Faddis, Jr. Esquire, located in St. Louis, Missouri. Financial Planning Consultants, Inc., Lars D. Om

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc 96-01552 Name of Respondent Ariad Group CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on April 10, 1996, Claimant Prudential Securities Inc. ("Claimant"), through its representative, Linda A. Gallagher, Esq. of the law firm of Gomberg Kane & Fischer, Ltd., locat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name tf Claimant Raymond, James & Associates, Inc. 96-01545 Name of Respondent Eric A. Cason For Claimant: Joseph A. Vallo, Esq., Fort Lauderdale, FL. Hie Respondent did not appear. CASE INFORMATION Statement of Claim filed: April 10, 1996. Claimant's Submission Agreement signed on: April 3, 1996. The Respondent did not execute a Submis

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Bruce Summerer Claimant, v. Case Number 96-01544 Robert W. Baird & Co., Inc. Respondent. REPRESENTATION OF PARTIES Claimant Bruce Summerer ("Claimant") was represented by Bruce M. Bieneman, Esq. of Cholette, Perkins & Buchanan located in Grand Rapids, Michigan. Respondent Robert W. Baird & Co., Inc. ("Respondent") was represented by Boyd A. Hend

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of Claimant Saber Partnership 96-01540 Name of Respondents Janice Turek Mace Blicksilver REPRESENTATION For Claimant Saber Partnership ("Claimant") appeared Nasser Saber of the Saber Partnership located in New York, New York. For Respondents Janice Turek ("Turek") and Mace Blicksiiver ("Blicksilver"), collectively ("Respondents"),

. . - • NASD REGULATION AWARD NASD REGULATION In the Matter of the Arbitration Between Name of Claimant Steven Friedel 96-01539 Name of Respondent Pershing / Div. of DLJ Securities Corp. REPRESENTATION For Claimant Steven Friedel ("Claimant") appeared Sidney A. Weisberg, Esq., located in Great Neck, New York. For Respondent Pershing Division of Donaldson, Lufkin & Jenrette Corporation ("Respondent") appeared Joseph DaProcida, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Caroline J. Winston and Peter W.D. Sailer, (Claimants) vs. First Liberty Investment Group, Inc., Ahmed Gadelkareem, Gresham Cooney, James O'Connor, Sheldon Traube, Warren Schumacher, and Stephen DeBusso, (Respondents) Case Number: 01-02034 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Caroline J. Winston ("Winston"), appeared pro se. Claimant, Peter W.D. S

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James R. Blackburn, Jr. 96-01533 Names of Respondents Dean Witter Reynolds, Inc. Joseph Piontek William Piontek For Claimant James R. Blackburn, Jr. ("Blackburn"): Russell L, Forkey, Esq. of the law firm of Russell L. Forkey, PA, Fort Lauderdate, Florida. For Respondents Dean Witter Reynolds, Inc. ("DWR") and Joseph Piontek

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Carl R. Mclnnis and Tammy Mclnnis, Claimants, and No. 96-01528 Dean Witter Reynolds, Inc., Charles Z. Plesofsky, and Ellsworth Stevens Scales, Respondents, REPRESENTATION OF PARTIES Claimants Carl R. Mclnnis and Tammy Mclnnis were represented by Carl R. Mclnnis, of Memphis, Tennessee. Respondents Dean Witter Reynolds, Inc., Charles Z. Plesof