NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Alan B. Lechner, Claimant/Counteirespondent, v. No. 95-00715 Stifel, Nicolaus & Company, Incorporated, Respondent/Counterclaimant. OF PARTIES Alan B. Lechner ("Claimant") was represented by Jonathan M. Herman, Esq., of Dorsey & Whitney, New York, New York. Stifel, Nicolaus & Company, Incorporated ("Respondent") was represented by Kenneth W. B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Buddy G. Harp and Loretta M. Harp NASD Case No. 95-00713 © National Association of Securities Dealers. Inc. Wheat First Butcher Singer, Inc. All Rights Reserved REPRESENTATION Claimants appeared pro se. l Respondent: appeared, Daviid Shuford, Esq. from the law firm of LeClair Reign^ Jox^ated in Ricrrniond, Virgi

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bonnie Lee Orange 95-00711 Name of Respondent First Investors Corporation Louis F, Manzo REPRESENTATION For Claimant Bonnie L. Orange ("Claimant"): John R. Crayton, Esq. of the law firm of Crayton & Belknap. For Respondents First Investors Corporation ("First Investors") and Louis F. Manzo ("Manzo"): Ronald J. Rolleri,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Subhash Kapur, as Trustee of the Metro Rehabilitation Service, Inc. Defined Benefit Pension; and Subhash Kapur d/b/a Oakland Mgmt. & Leasing and NASD Case Number: 95-00706 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc.; and Gerald I Hoskins REPRESENTATION OF PARTIES Claimants Subhash Kapur, as Truste

N.A.S.D. AWARD NATIONAL ASSOCIATION QP SECURITIES DEALERS William H. Birdsong, Claimant, V. No. 95-0705 James W. Builard and Company, Respondents. REPRESENTATION OF PARTIES Claimant William H. Birdsong ("Claimant") represented himself. Respondent James W. Bullard and Company ("Bullard") was not represented by counsel. CASE INFORMATION Statement of Claim was filed on or about January 27, 1995. Claimant's Submission Agreement was signe

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Eugene R. Berger 95-00704 Name of Respondents Investors Associates, Inc. David Daniel Adams REPRESENTATION For Claimant, Eugene R. Berger ("Claimant"), appeared Gerald B. Kline Esq., located in Atlanta, Georgia. Claimant appeared Pro Se at the hearing, For Respondents, Investors Associates, Inc. ("IAI"), and David Daniel Adams ("Adams"), "Respondents") appear

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Raymond James & Associates, Inc. Names of Respondents Estelle Alexandria Roche Krieger Financial Services, Inc. Case No. 00-03850 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Raymond James & Associates, Inc. ("Raymond James") hereinafter referred to as "Claimant": Carrie J. Bechtold, Blackwell, Sanders, Peper, Martin, LLP, St.

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Eric Weschke and Kathy Montana, Claimants vs. Tasin & Company, Inc., Robert Tassinari, Salvatore Sfcpienza, John Stracquadanio, Mario Volpe[sic] and Louis Pepe, Respondents. Case Number: 00-00391 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants,Eric Weschke and Kathy Montana, referred to as "Claimants": Steven N. Fuller, Nixon Peabody LLP, 101 Federal

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Thomas A. Bennett and Carole L. Bennett 95-00696 Name of Respondent Olde Discount Corporation REPRESENTATION Claimants Thomas A. Bennett and Carole L. Bennett ("Claimants") were represented by Kevin B. Steinberg, Esq., Starker & Steinberg, Philadelphia, PA. Respondent Olde Discount Corporation ("Respondent") was represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William and Carolyn Koenig 95-00694 Name of Respondents Prudential Securities, Inc. Brian H. Summers CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 10, 1995, Claimants William and Carolyn Koenig ("Claimants"), through their counsel, James J. Eccleston, Esq., alleged that