N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marty Wynne Murphy 93-00989 Name of Respondent Kemper Securities, Inc. REPRESENTATION For Claimant: Marty Wynne Murphy ("Murphy") was represented by Barrett W. Stetson, Esq. of Dallas, Texas. For Respondent: Kemper Securities, Inc. ("Kemper") was represented by Michael L. Brem, Esq. of Baker & Botts, located in Houston, Tex

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Randi L. Berner 93-00988 Name of Respondents Prudential Securities, Inc. Robert Tonnesen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March IS, 1993, Claimant Randi L. Berner, who appeared Pro Se, alleged that in April, 1985 she started investing $2,000.00 per year in

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William D. Berner 93-00987 Name of Respondents Prudential Securities, Inc. Robert Tonnesen CASE SUMMARY In a claim tiled with the National Association of Securities Dealers, Inc. on March 15, 1993, Claimant William D. Berner, who appeared Pro Se, alleged that in April, 1985 he started investing $2,000.00 per year

Stipulated Award NASD Dispute Resolution in the Matter ot the Arbitration between: Name of the Clainiant Case Number: 00-03597 Raymond James £j Associates, Inc. Names of the Respondents Hearing Site: Boca Raton, Florida Janney Montgomery Scott LLC Sean Donald Paso6e Laurel Ann Salsberry REPRESENTATION OF PARTIES For Raymond Janfies & Associates, Inc. ("RJA") hereinafter referred to as "Claimant": Michael A. Brady,JTate, Lazarini & Beall, PLC

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roland R. Reming and Darlene M. Fleming 93-00985 Name of Respondents Kennedy, Cabot & Company Gruntal & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 15 1993, Claimants Roland and Darlene M. Fleming who appeared pro se, alleged that Respondents Kennedy, Cabot & Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sam Adler 93-00977 Aleksandr Shvarts Leonard M. Kamerman American Bond Group, Inc. REPRESENTATION For Claimant Sam Adler ("Claimant"): Kenneth Choy, Esq., a sole practitioner. Respondents American Bond Group, Inc. ("ABG"), Leonard Kamerman ("Kamerman"), and Aleksandr Shvarts ("Shvarts") were not represented by counsel n

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Anthony James Simoneili vs. Case # 93-00964 Name of Respondents Invest Financial Corporation Lisa Maria Booth Metric Partners Growth Suite REPRESENTATION Anthony James Simoneili ("Claimant") was not represented by counsel. For Respondents, Invest Financial Corporation ("IFC") and Lisa Maria Booth ("Booth"), Eugene B. Ha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Dennis P. and Carolyn A. Nicholas 93-00959 Name of Respondents Offerman & Co., Inc. Terry Laymon REPRESENTATION For Claimants, Dennis P. and Carolyn A. Nicholas: Mr. and Mrs. Offerman appeared pro-se at the hearing. For Respondent, Offerman & Co., Inc.: Patricia S. Bartholomew, Esq. of Offerman & Co.. Inc. For Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PUBLIC Name of Claimant^ Dong Uk Lee 93-00954 Name of Resuondent(s) Bear Steams & Company, Inc. Oppenheimer & Co., Inc. v. Patrick M. Riley REPRESENTATION For Claimant Dong Uk Lee: Jonathan M. Goidel, Esq. of the law firm of Goidel and Siegel, New York, NY. For Respondent Bear Stearns and Company, Inc.: William C. Mallery, Esq., in-

N.A.SJ). AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibiuation Between Namtgf Chrinrnfla SamMaywood, DawnMaywood AWARD vs. NASD £93-949 American Bond Group, Inc., James John Mdntelcone, Ateksindr Shvuts For Claimants: Sam Maywood of La Jofla, Cafifomia. For Respondents American Bond 61019, !"*• and AWoadr Snvaits: A-ShvaitsofNew Yak, NcwYort For Retpondeot Xnoes J. Moctdcaac: Junes J. MonttsiDonc of New