N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between . Name of Claimant Susan C. Evans Name of Respondents Interstate/Johnson Lane Richard Draffin 95-01901 REPRESENTATION For Claimant, Sydney L. Cottingham, Esq., of the law firm Cottingham & Porter, P.C., located in Douglas, Georgia. For Respondent Interstate/Johnson Lane ("Interstate"), Pamela P, Warnement, Esq., of Interstate, located i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paine Webber ^ Inc. 95-01900 Name of Respondent Kenneth Mahoney REPRESENTATION For Claimant appeared Evan J. Charke, Esq. of PaineWebber, Inc.. For Respondent Kenneth Mahoney appeared Dan Druz, Esq. CASE INFORMATION Statement of Claim was filed on April 18, 1995. Claimant's Submission Agreement was signed on April 13, 1

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant The Harris Assets Revocable Trust and Name of Respondent First Southwest Company 01-00958 Denver, Colorado REPRESENTATION OF PARTIES The Harris Assets Revocable Trust ("Claimant") was represented by Robert L. Wright, Esq. of Gardere Wynne Sewell LLP. located in Dallas, Texas. First Southwest Company ("Respondent") was represented by Cheryl J

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant August E. Nies v. Name of Respondents Diversified Securities, Inc. and Louis S. Faubert NASD Arbitration No. 95-01891 For Claimant: For Respondent: REPRESENTATION Richard Sacks Investors Recovery Service Novato, California James Geffner, Esq. Burbank, California CASE INFORMATION Statement o

N.A.S.D. AWARD NATIONAL f SSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimar.T Joseph Coory NASD Arbitration No. 95-01886 Name of Respondent J.C. Bradford & Co. Arthur F. Duffey REPRESE1SJTATION For Claimant: Paul W. Thomas, Esq., Carlsbad, California For Respondent: Linda G. Willis, Esq., J.C. Bradford & Co., Nashville, Tennessee INFORMATION Statement of Claim filed: April 17, 1995

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Javier G. Conde 95-01883 Name of Resoondgyfls Olde Discount Corporation; William S. Ryan REPRESENTATION For Claimant: Javier G. Conde ("Conde") appeared pro se. For Respondents: Olde Discount Corporation ("Olde") and William S. Ryan ("Ryan") were represented by Amy Kutt Richards, Esq. of Olde Discount Corporation, Detroit,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between lames R. Trayner Claimant, v. No. 95-01880 U.S. Investments, Inc., Sherry D. Criscogriffen, Steven C. Gunn, and Rocky L. Griffen Respondents. REPRESENTATION OF PARTIES Claimant James R. Trayner, et al. was represented by Richard G. Himelrick of Byrnes & Himelrick, P.L.L.C. located in Scottsdale, AZ. Respondent U.S. Investments, Inc. was r

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edwaixi C. & Genevieve C. Thier 95-01878 Name of Respondents Sheen Financial Resources, Inc. David R. Bossert Edwin N. Legard, Jr. Brian J. Sheen REPRESENTATION For Claimants: Stephen D. Spivey, Esq. of Stephen D. Spivey, P.A., Ocala, FL. For Respondent, David R. Bossert ("Bossert"): Marc S. Dobin, Esq. of Boose Casey

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Debra Reda NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 95-01873 Name of Respondents Prudential Securities, Inc. and Joseph Edelman For Claimant: For Respondents: REPRESENTATION Bradd L. Milove> Esq. Miller, Milove & Kob

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard Carino Names of Respondents Smith Barney Shearson, Inc. Robert J. Escobio Claudio Salazar Kenneth A. Sussman 95-01869 REPRESENTATION For Claimant, Richard Carino ("Carino"): Robert A. Ware, Esq. of English, McCaughan & O'Bryan, P.A., Fort Lauderdale, Florida. For Respondents, Smith Barney Shearson, Inc. ("Sm