N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Peter Danes Case# vs. 92-03799 Name of Respondents Mabon, Nugent & Co. Jeffrey A. Pollock REPRESENTATION For Claimant, Peter Danes ("Claimant") Dan Brecher, Esq., from the law offices of Dan BnScher, located in New York, New York. For Respondents, Mabon Nugent & Co. ("Mabon") and Jeffrey A. Pollock ("Pollock"), G. R

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tne Matter of the Arbitration Between Mame of Claimant Catherine P. Smith No. 92-03795 Name of Respondent Piper. Jaffray & Hopwood. Incorporated REPRESENTATION OF PARTIES For Claimant: Daniel L. Fowler, Esq* of Watson, Ess, .Marshall & Enggas. Kansas City, Missouri. For Respondent: Ronald C. Spradley, Esq> of Spradley & Riesmeyer, Kansas City, Missouri. CASE INFORMATION Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant E, Gregory Slover 92-03791 Names of Respondents Oil Investment Associates. Stanley Tax. Morgan Stacey a/k/a Michelle Stacey, Barbara McGuire. Production Management Associates, Inc., Property Management Associates, Inc. d/b/a PMA Operating Company REPRESENTATION Claimant, E. Gregory Solver appeared pro se. None of th

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS Name of Claimant Linda Armstrong No. 92-03785 Name of Respondents Rodman & Renshaw, Inc. Bernard E. Barr REPRESENTATION OF PARTIES For Claimant:: Michael B. White, Esq., Overland Park, Kansas. For Respondents: J. Michael Vaughan, Esq., of Weisenfels & Vaughan, Kansas City, Missouri. CASE INFORMATION Statement of Claim filed on or about: November 5, 1992. Claimant's Submiss

N.A.S.D.AWAKZ, ^ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimants Meyer and Charlotte Kauffman 92-03784 Name of Respondents Stratum Oakmont Howard Weinstein Jordan S. Belfort Kenneth S. Greene Daniel M. Porush REPRESENTATION For Claimants Meyer and Charlotte Kauffman ("Claimants") appeared Susan N. Perkins, Esq., of the law firm of Susan N. Perkins, P.C., located in New York, N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. TNG. In the matter of the Arbitration Between Name ot Claimants David L. Rice Lois E. Rice NASD Arbitration No.92-03781 Respondents Shearson Lehman Brothers, Inc. Dan Schmiech REPRESENTATION For Claimants: Robert A. Uhl, Esq., Aidikoff & Kesluk, Los Angeles, California For Respondents: Michael Gless, Esq., Keesal, Young & Logan, Long Beach, California CASE INFORMATION

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ann Joan Lombardo 92-03769 Name of Respondent Ronald Lupia CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 6. 1992. Claimant Ann Joan Lombardo, who appeared Pro Se. alleged that while employed by Donald S. Perlman Agency, she was contacted by Respondent Ronald Lupia

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David A. and Claudia Schaefer. vs. First Jersey Securities, Robert E. Brennan, Richard Hunt and Brady Neeld, Claimants, Respondents. Case #87-02001 Award Heard before the members of the Arbitration Panel: Mark Perry, Esq. Ms. Patricia A. Snub Mr. Thomas E. Feeley CASE SUMMARY This claim was filed with the NASD, Inc. on October 21, 19

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between CHRISTINE BUDZANOWSKJ McCLEARY ) Claimant(s) ) v. ) ) CASE NO. 87-01987 E. F. BUTTON & COMPANY, INC. AND ) AWARD BARRY VENER ) ) Respondent (s) } On June 6, 1989 in Denver, Colorado, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on January 20, 1988 by Claimant Christine Bu

NASD Regulation Inc., Office of Dispute Resolution Arbitration No. 97-02567 Award Page 3 of 5 responsible if Larrabee recovers any judgment from A.S. Goldmen. Claimant requested entry of an award against Respondents for compensatory damages of $55,148.00; pre-judgment interest at the rate of 10% per annum compounded annually; punitive damages in the sum of $40,000.00; reasonable attorneys' fees and expenses; costs; post-judgment interest at the rate of 9% p