NASD Arbitration No. 94-03900 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (g) Robert Pancheri Warns of Respondent(si Stratton Oakmont, Inc. Matthew Bloom Paul F. Byrne Daniel Porush Jordan Belfort Kenneth S. Greene For Claimant: Eleanor L. Blais, Esq., Harrigan, Ruff, Ryder & Sbardellati, Scui Diego, California For Respondents: Martin P. Unger,

N.A.S.D. .AWARD NA'nONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Alan Kozik Nancy Kozik 94^3893 NameofResoondems Gerard O'Hars First Institutional Securities Inc. For Claimants Alan and Nancy Kozik ("Claimants") appealed Michael L. Paule of Paule Financial Corporation, located in Woodland Hills, CaUfonia. For ReqxMidents Gerard O'Haie CO'Hare") and First Institutional Securities Inc. (

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Elvia M. Pettit and John L. Pettit. Claimants, v. NASD No. 94-3891 Private Ledger Financial Services, Inc. and Earl F. Gray, Respondents. Rqfresentation For Claimants: Jules Fedoman of Investors Rights Association, Santa Barbara, California and Carl Grubb, Esq., San Diego, California For Respondent: David Freniere, Esq. of Private Ledger Financial S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Jack L. and Lois A. Brass V. Name of Respondents Keimedy, Cabot & Co. anu Jeff Krohnfeldt NASD Arbitration No. 94-03883 For Claimants: For Respondents: REPRESENTATION Edward Russey, Esq. The Law Offices of Jeff Dennis Ferentz Newport Beach, California George Kupper, Esq. Kennedy, Cabot & Co. B

N A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS 94-03880 In the Matter of the Arbitration Between Name of Claimant H. Yvonne Joy Name of Respondents The Prudential Insurance Co. of America Pruco Securities Corporation Fayek Megeed REPRESENTATION For Claimant H. Yvonne Joy ("claimant") appeared Steven M. Donsky, Esq., a sole practitioner located in Fairport, New York. For Respondents Prudential insurance Cxi. of America ("Pr

N.A.S.D. AWARD .NATIONAL ASSOCUTION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimants Omero C. Catan and Jeanne Catan 94-03877 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 22,1994, Clabnams Omero C. ind^eanne Catan, who appeared pro se, alleged that Respondent Dean Witter Reynolds, Inc. was negligent in handling

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUIUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 94-03876 Name of Respondent Solomon Bekian CASE STJMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 22,1994, Claimant PaineWebber, Inc., through its in-house counsel, Joseph GenereUi, Esq. alleged that Respondent failed to repay a debit balance in his account. Claim

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Margaret & Ronald Owens Nicola & Pasqualina Angelicola Ernest Waterman Name of Respondents Andover Securities, Inc. Kent Miller Terry McGavem 94-03867 REPRESENTATION Claimants Margaret and Ronald Owens ("Owens"), Nicola and Pasqualina Angelicola ("Angelicola") and Ernest Waterman ("Water

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Blanche T. Riordan, (Claimant) vs. Salomon Smith Barney Inc., Edward McNamee, and J. Palmer Patton, (Respondents) Case Number: 01-04453 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Blanche T. Riordan, hereinafter referred to as "Claimant": Cynthia Chevins (niece), New Canaan, CT. Respondents, Salomon Smith Barney Inc. ("SSB"), Edward McNamee ("McNamee"),

NASD Arbitration No. 94-03866 M.A.S.O. AWARD NATIONAL AS.qnriATTnN OF SECURTTIES DEALERS. TNC. In the matter of the Arbitration Between Name of Claimant(s) Ruth M. Cornell Name of Respondent(s) Kemper Securities, Inc, Anthony Cameron RBFRgSBHTATION For Claimant: William R. Bayma, Research & Investigations, San FrEuicisco, California For Respondents: Peter R. Boutin, Esq., amd Esther M. Kim, Esq., Keesal, Young & Logan, San Franci