AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Prudential Securities Incorporated 96-00894 Name of Respondent Stan Parks REPRESENTATION For Claimant: Prudential Securities Incorporated ("Prudential") was represented by Daniel B. Scotti, Esq. of Coffield, Ungaretti & Harris, located in Chicago, Illinois. For Respondent: Stan Parks ("Parks") did not appear. CASE INFORMATI

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Paul & Janet Riccobono Case Number: 96-00893 REPRESENTATION Paul and Janet Riccobono (collectively "Claimants") were represented by Donna Russo, Esq. of the law firm of Russo & Kieck, Hackensack, New Jersey. Eton Chambers ("Respondent") represented himself. CASE INFORMATION Claimants' Statement of Claim was filed on February 28, 1996. Claimant Jane

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara D. Stewart 96-00891 Wheat First Securities, Inc. Robert Weitzner CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 28, 1996, Claimant Barbara D. Stewart ("Claimant"), who appeared Pro Se, alleged that Respondents Wheat First Securities, Inc. ("WFS") and Robert Weitzner (

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant First Union Securities, Inc. and 00-05423 Scottsdale, Arizona Name of Respondent Randy M. Bianchi RTCPRTCSF.NTATIQN OF PARTTF.S First Union Securities, Inc. ("Claimant") was represented by Diane C. Fischer, Esq. and Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Randy M. Bianchi ("Respondent") was represented by G. Todd Jackson,

N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Robert A. Murphy; Robert A. Murphy, Trustee for Robert M. Murphy; and Robert A. Murphy, Trustee for Lauren Murphy. 96-00890 Name of Respondents Everen Securities, Inc., f/k/a Kemper Securities, Inc.; Sheldon H. Schumaker; and Richard Renner REPRESENTATION For Claimants: Robert A. Murphy; Ro

. 5.1999— 4 = N0.781 p.2/4 N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc, 96-00886 Name of Respondent William H. Edgar REPRESENTATION For Claimant: Thomas M. Mierswa, Jr., Esq., corporate counsel for PaineWebber Incorporated, ("PabeWebber"). Respondent William H. Edgar ("Edgar") appeared pro se. CASE Statement of Claim filed: Feb

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant John A. Wolfington 96-00885 Name of Respondents Wheat First Securities, Inc. Michael K. Casey REPRESENTATION Claimant John A. Wolfington ("Claimant") was represented by Matthew A. Taylor, Esq., Taylor and Taylor, Philadelphia, PA. Respondents Wheat, First Securities, Inc. ("Wheat") and Michael K.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas S. Babcock 96-00884 Name of Respondents Bear Stearns Securities Corp. Duncan Gillan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 27, 1996, Claimant Thomas S. Babcock ("Claimant") alleged that Respondents Bear Stearns Securities Corp. ("Bear Stearns") and Duncan G

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Vincent Liotta • 96-00881 Names of Respondents Joseph Roberts & Co. Canton Industrial Corp Robert B. DiMarco, Jr. Joseph F. DeSanto Randy Scott Syrop REPRESENTATION Claimant Vincent Liotta ("Claimant") appeared pro se. Respondent Joseph Roberts & Company ("Joseph Roberts") did not appear at the hearing conducted in this matter. For Responden

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Susan M. Saks 96-00877 Name of Respondent Wheat First Securities, Inc. James F. Hargreaves REPRESENTATION Claimant Susan M. Saks ("Claimant") was represented by Jonathan G. Babyak, Esq., Bassi & Associates, Charleroi, PA. Respondents Wheat First Securities, Inc. ("Wheat First") and James F. Hargr