N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Comprehensive Capital Corp 96-00164 Name of Respondent Robert Blair Keon, Jr. REPRESENTATION For claimant Comprehensive Capital Corporation ("claimant") appeared Steven Kovorkian, CFO of Comprehensive Capital Corporation. Respondent Robert Blair Keon, Jr. ("respondent") did not enter an appearance in this matter. CASE INFOR

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. TNf! In the matter of the Arbitration Between Name of Claimant Everen Securities, Inc. Name of Respondent Thomas N. Zirbel NASD Arbitration No. 96-00158 For Claimant: For Respondent: REPRESENTATION Ronald P. Kane, Esq. Gomberg, Kane & Fischer, Ltd. Chicago, Illinois Otto K. Hilbert, II, Esq. LeBoeuf, Lamb, Greene & MacRae, L.L.P. Denver, Colorado CASE INFO

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Erol and Ayten Cannoyan 96-00135 Name of Respondents PaineWebber, Inc. Gruntal & Co., Inc. Stephen McDermott Fatih Cannoyan REPRESENTATION For Claimants Erol and Ayten Cannoyan ("Claimants") appeared Charles R. Van de Walle, Esq., of the law firm Martin, Van de Walle, Donohue, McGahan & Catalano, located in Jericho, New York. For Respondent

REPORT OF ARBITRATORS NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Leonard M Loniewski and Sherry D. Loniewski and 96-00125 Name of Respondent Joseph Stevens & Company, LP Mitchell Mullen Joseph Sobarra ____ DISCIPLINARY REFERRAL ^ : ;;r:4-.^Y';^ investigate me following for potential violations of the Rules of Fak Practice/ During the c6ws&of^^';^M-noV - r

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Ray and Mary Parchment and 96-00118 Name of Respondents Kirk D. Miles, Pacific Cliffs Capital, Inc., John lams, Carroll Bennett Roodhouse, William Garmany, and Leslie Rose REPRESENTATION OF PARTIES Ray and Mary Parchment ("Claimants") were represented by Firmin A. Puricelli, Esqy, Sfel Louis, Missouri. " ^ nus, M, Kirk D. Miles Miles ("

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ira Furman and Alyce Furman, (Claimants) vs. J.W. Barclay & Co., Inc., Dexter Cube, Patrick Leahy, Joshua Chaffey, Michael J. Wills, Theo Basis, Joseph Cordi, John Cioffoletti, and John A. Bruno, (Respondents) Case Number: 00-05338 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Ira Furman ("I. Furman") and Alyce Furman ("A. Furman"), hereinafter collecti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph A, Calabrese Q6-00105 Name of Respondents Moshe Rim son Alex Shindman M. Rimson & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 10, 1996, Claimant Joseph A. Calabrese ("Claimant"), who appeared Pro Se, alleged that Respondents Moshe Rimson ("Rimson"),

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant George Feher 96-00099 Name of Respondents Smith Barney, Inc. Thomas J. Adams, Jr. REPRESENTATION For Claimant George Feher ("Claimant") appeared Peter B. Vaden, Esq. and James N. Deinlein Esq. of the law firm of Deinlein & Vaden located in Charlottesville, Virginia. For Respondents Smith Barney, Inc. ("Smi

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Michael Sanford, and 96-00090 Name of Respondent Broker Transaction Services, Inc. REPRESENTATION OF PARTIES For Claimant: Claimant Michael Sanford ("Sanford") was represented by Dino E. Viera, Esq. of Fellers, Snider, Blankenship, Bailey & Tipp in Oklahoma City, Oklahoma. For Respondent: Respondent Brokers Transaction Services,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ralphe Vawter 96-00084 Name of Respondent M. Rimson & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1996, Claimant Ralphe Vawter, who appeared Pro Se, alleged that Respondent M. Rimson & Co., Inc. ("Rimson"), failed to supervise its employee, Alex Shindman ("Shin