N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard F. Schwartz Case No. vs. 94-01705 Name of Respondent Oppenheimer & Co., Inc. Randy Driver REPRESENTATION For Claimant, Richard Schwartz ("Schwartz 1 *), appeared Thomas P. Marotta, Esq., of Hermann Cahn & Schneider located in Cleveland, Ohio. For Respondent, Oppenheimer & Co., Inc., ("Oppenheimer") and Randy

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lee Cazort. Jr. and Case No . 94-0 1 703 NAP Financial Corporation n/Va Aragon Financial Services. Inc. and Marc J, Herman RJfiPRESENTA'flQN OF PARTIES Claimant, Lee Cazort, Jr.,was represented by Mark W. Nichols, Esq. of Nichols, Wolff & Lfidbetter, Little Rock, Arkansas Respondents, NAP Financial Corporation n/k/a Aragon Financial Services,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant David A. Sipp Case No: 94-01700 1^ ame of Respondent Prudential Securities Incorporated REPRESENTATION For Claimant: David A. Sipp ("Sipp") was represented by Timothy M. McDaniel, Esq. of McDaniel & Associates, located in Houston, Texas. For Respondent: Prudential Securities Incorporated ("Prudential") was represented by David Sterling, Esq. of Baker & Botts, located

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephen A. Rogers, (Claimant) vs. Gruntal & Co., L.L.C. and Albert Pagan, (Respondents) Case Number: 01-03039 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Stephen A. Rogers, hereinafter referred to as "Claimant", appeared pro se. Respondents, Gruntal & Co., L.L.C. ("Gruntal") and Albert Pagan ("Pagan"), hereinafter collectively referred to as "Respondents"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALFR.S. INC. In the matter of the Arbitration Between Name of Claimant (s) Roger M. Young Name of Respondents Kenneth B. Sacks Andrew E. Mercer Calvin Freedman John Peters Dan Libby NASD Arbitration No. 94-01698 REPRESENTATION For Claimants: InProSe For Respondents: In Pro Se CASE INFORMATION Statement of Claim filed: May 9,1994 Claimant's Submission Agreemen

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Oppeneimer & Co., Inc. 94-01697 Name of Respondent Alan S. Haenel REPRESENTATION For Claimant Oppenheimer & Co., Inc. ("Claimant") appeared Lloyd S. Clareman, Esq., a sole practicioner located in New York, New York. For Respondent Alan S. Haenel ("Respondent") appeared John E. Law lor, Esq., a sole practicioner located in New York, New York. CASE INFORM

FINAL AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Joseph Jett Case No. vs. 94-01696 Name of Respondent Kidder, Peabody & Co., Incorporated REPRESENTATION For Claimant Joseph Jett ("Jett") appeared Kenneth E. Warner, Esq. of Coblence & Warner law firm and Gus Newman, Esq. of Newman & Schwartz law firm, both located in New York City, New York. For Respondent Kidder, Peabody & Company, Inc. ("Kidder

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Annabelle Datzker NASD Arbitration v. No. 94-01690 Name of Respondents Prudential Securities, Inc., and William P. Keane REPRESENTATION For Claimant: Michael E. Friedman, Esq., Pasadena, California For Respondents: Janet M. Simmons, Esq., Keesal, Young & Logan, Long Beach, California CASE INFORMATION S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kenneth Rosen 94-01687 Name of Respondents Herzog, Heine, Geduld, Inc. Churchill Securities, Inc. REPRESENTATION For Claimant: Howard M. Sommers, Esq. of Karp & Sommers, New York, New York. For Respondent Herzog Heine Geduld, Inc.: Charles Christofilis, Esq. of Herzog, Heine, Geduid, Inc., New York, fiew York. For Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gennaro and Diane Passante 94-01686 Name of Respondents Leon Procopio First Investors Corporation First Associates Schneider Securities, Inc. Jonathan Alan & Co., Inc. • •- REPRESENTATION For Claimants Gennaro and Diane Passante (hereinafter collectively referred to as "claimants") appeared Charles R. Goulding, Esq