AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Petrohawk Energy Corporation, as Successor by Merger to Mission Resources Corporation vs. Case Number: 06-00052 Hearing Site: Houston, Texas Name of Respondent Jefferies & Company, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Petrohawk Energy Corporation, as Successor by Merger to Mission Resources Corporation ("Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-00464 Donald Hill Beverly Ann Hill Name of the Respondent Hearing Site: Tampa, Florida Kim Kantor Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Donald Hill and Beverly Ann Hill, hereinafter collectively referred to as "Claimants": Debra G. Speyer, Esq., Law Offices of Debra G. Speyer, Bala Cynw

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Rathen Mason Case No. 98-04975 Names of Respondents The Prudential Insurance Company of America Donald E. Helms New York Life Insurance Company NYLife Securities, Inc. REPRESENTATION OF PARTIES For Claimant Rathen Mason ("Mason"), hereinafter referred to as "Claimant": X. Michael Frascogna, Esq., James L. Powell, Esq. and Shawnassey Howell, Esq. of

N.A.S.D. AWARD ASSOCBkTICN OP SBCDRZHZS DEAXERS In the Matter of the Arbitration Between NaneofClainent Jean I» OTSD Arbitration Mb. 92-00879 Name of Respondents Sacuritiea Wast, IDC. Daniel R. Lioon For Claimant: Richard Sacks Respondent: fiKamuw x,. McBougald - KMM! YOUD? 6 Sbatavnt of Claim filed: Hfecth 12, 1992 Claimant's Submission Agxeenett signed cos February 18, 1992 Statement of Anawer filed by faapondent, Seotiritiea M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantf s^ Gertrude Hoffman, as Trustee for the Ira Hoffman Revocable Trust and as Trustee for the Gertrude Hoffman Revocable Trust Case No. 92-00877 Name of Respondentfs) Gruntal & Co., Inc. The GMS Group, Inc. Jerome J. Solomon For Claimant, Gertrude Hoffman as Trustee for the Ira Hoffman and Gertrude Hoffman Revocable Trust

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Comsentech, Inc. and Stephen W. Krajicek 92-00873 Name of Respondents Shearson Lehman Brothers, Inc.; Russell Pagel REPRESENTATION For Claimants: Comsentech, Inc and Stephen W. Krajicek were represented by Stephen W. Krajicek, President of Comsentech, Inc. For Respondents: Shearson Lehman Brothers, Inc. and Russell Pagel w

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Tarrington Helen S. Tarrington Qaimant(s) ORDER vs. CASE NO. 92-00868 Prudentiai-Bache Securities Inc. John Eisele Jerome Ira Baron Respondents) ORDER OF PANEL ASSESSING FORUM FEES On June 22,1993, after completing a total of eight hearing sessions conducted on May 18,1993, May 19, 1993, June 21, 1993 and June 22, 1993, the panel signed an Order of

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Michaelis Development, LLP and Mark J. Phillippe and 99-03104 Indianapolis, Indiana Name of Respondents Redstone Securities, Inc. Evgeny Rubin, Jr. Thomas W. Laundrie Richard J. Belz Gary I. Purcell Vincent R. Drohan REPRESENTATION OF PARTIES Michaelis Development, LLP and Mark J. Phillippe ("Claimant") was represented by Thomas A.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration" Between Name of Claimants Bernard Halper and Barbara Halper 92-00864 ' Name of Respondents Dain Bosworth, Inc. and Elmer Schindel ~~ REPRESENTATION OP PARTIES For Claimants: Ted S. Meikle, Esq. of Fredrikson & Byron, Minneapolis , Minnesota . For Respondents: James B. Lynch, Esq. of Dorsey & Whitney, Minneapolis, Minnesota. CASE Statem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PliRLlC Name of ClaimantfsJ) Iris F. Agar 92-00862 Name of Resoondent(s) Shearson Lehman Brothers, Inc. Brenda Baxter Terry Sherman REPRESENTATION For Claimant Iris Agar: Morgan Bentley, Esq. of the law offices of Morgan Bentley. For Respondents Shearson Lehman Brothers, Inc., Brenda Baxter and Terry Sherman: Paul Williams, Esq. of Schu