AWARD In the Matter of the Arbitration Between Name of Claimant Rick Robert Hoffman and Case Number 95-02227 Names of Respondents Stratton Oakmont, Inc. and Andrew Friedman REPRESENTATION OF PARTIES Claimant Rick Robert Hoffman was represented by Ben A. Wallis, Jr., Esq. located in San Antonio, Texas. Respondent Stratton Oakmont, Inc. was represented by Ron Schindler, Esq. of Fowler White Law Firm located in Miami, Florida. ; Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Helen K. Ruetsch and Alexander S. Drugos 95-02196 Name of Respondents Smith Barney Shearson, Inc. Anthony Crupi REPRESENTATION For Claimants Helen K. Ruetsch and Alexander S. Drugos ("Ruetsch" and "Drugos", respectively) appeared William A. Despo, Esq., from the law firm of William A. Despo, P.C. located in Newark, New Jer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number- 01-00967 NickJ.Batis Names of the Respondents Hearing Site- Pittsburgh, PA Ferris, Baker Watts, Inc. and Kevin CKrul RFPRFSFNTATION OF PARTIES Claimant, Nick J. Batis, hereinafter referred to as "Claimant", was represented by Arnold Y. Steinberg, Esq., Arnold Y. Steinberg, P.C., Pittsburgh, Pennsylvania. Respondents, Ferris, Baker Watts,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lou Kaczman 95-02001 Name of Respondents PaineWebber, Inc. Marilyn Carter CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 26, 1995, Claimant, Lou Katzman, who appeared Pro Se, alleged thai Respondents, PaineWebber, Inc. ("PWI") and Marilyn Carter-Larson ("Larson 11 ),

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alyson B. Katz 95-01999 Name of Respondents Shearson Lehman Hutton, Inc. n/k/a Smith Barney, Inc. Rheta W. Raven n/k/a the Estate of Rheta W. Raven CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 26, 1995, Claimant Alyson B. Katz ("Claimant"), who appeared Pro Se, alleged

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edgar A. Poe, III 95-01997 Name of Respondent A.S. Goldmen & Co.,Inc. Name of Third Party Respondent Curtiss B. Parker CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 26, 1995, Claimant Edgar A. Poe, III, who appeared Pro Se, alleged that Respondent A.S. Goldmen & Co., Inc. f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Societe Generate Securities Corp. 95-01991 Name of Respondent Jason MacKenzie Securities Corp. REPRESENTATION For Claimant, Curtis Pew, Esq. from the law firm of Baker & McKenzie, New York, NY Respondent did not appear at the evidentiary hearing conducted in this matter CASE INFORMATION Statement of Claim filed: April 21, 1995

N.A.S.D. AWARD •-ATIONAL -'::SOC:ATIOM OF SECURITIES DEALERS NASD Case No. 95-01982 in rhe .vi.ii.icf i»f the Arbitration Between Name of Claimant -lames F. Murphy Name of Respondents A.S, Goldmen & Company. Inc. Christopher D. Panza Robert F. Fox Terrence J. Murphy Stuart E. Winkler Foster Gibbons REPRESENTATION Claimant James F. Murphy, Sr. appeared pro se. For Respondents, A. S. Goldmen & Co. ("Goldmen"), Robert Fox ("

NASD A WARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert Hicks, Claimant, v. No. 95-01976 Prudential Securities Incorporated, and William Roll, Respondents. REPRESENTATION OF PARTIES Robert Hicks ("Claimant") was represented by Stuart R. Berkowitz, Esq., of Platke & Berkowitz, St. Louis, Missouri. Prudential Securities Incorporated ("PSI") and William Roll ("Roll") (collectively referre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Jeffrey P. Woloson vs. NASD Arbitration No. 95-01972 Name of Respondent J. B. Hanauer & Company Geoffrey Newman REPRESENTATION For Claimant: A. Kendall Wood, Esq., Hinchy, Witte, Wood, Anderson & Hodges, San Diego, California For Respondent J. B. Hanauer: Richard C. Szuch, Esq., Lowenstein, Sandier, Kohl, Fisher