N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between o Claimant Ronald Lott 92-02490 Name Stratum Oakmont, Inc.; Jordan Belfort; Kenneth Greene; Daniel Porush; Ezra Farbiarz; David Beall REPRESENTATION For Claimant: Ronald Lott ("Lott") was represented by Michael Farrell, Esq., with Kullman, Inman, Bee, Downing & Banta, P.C., located in Jackson, Mississippi. For Respondents: Stratton Oakm

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carol J. Freitag 92-02487 Name of Respondents Joseph thai, Lyon & Ross, Incorporated Rodney M. Kadymir George Carhart CASE SUMMARY In a claim filed by the National Association of Securities Dealers, Inc. on July 28, 1992, Claimant Carol J. Freitag by and through her counsel Joseph Pecora, Esq., of Dierker Bender

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Sarah and John Monier 92-02485 Names of Respondents Pradential-Bache Securities Inc. n/k/a Prudential Securities, Inc. and Vincent Lazara Claimants, John and Sarah Monier were represented by Barry Kirschner, Esq. of Raven, Kirschner & Norell, Tucson, Arizona. Respondents, Prudential-Bache Securities, Inc. n/k/a Prudential

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jan, J. Michael, Jason, and Jonathan Doughty, Claimants vs. Daniel Kehrer, Tammy Hoch, Jeremy Michelman, Pam Cavness, and Edward D. Jones & Co., Respondents. Case Number: 99-03270 Hearing Site: Phoenix, Arizona REPRESENTATION OF PARTIES Claimant(s), Jan, J. Michael, Jason, and Jonathan Doughty, of Jempe, Arizona, hereinafter {collectively} referred to as "Claimants", appeared pro

* PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NajneofCJaiinant Martha Lathrop 92-02483 Name of Respondent Todd Clark "' CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 28, 1992, Claimant Martha Lathrop, who appeared Pro Se, alleged that in June 1991, Respondent Todd Clark, a broker employed with Tamaron Investments, misrepresente

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Frank P. Trifeletti Rosemarie Trifeletti NASD Arbitration No. 92-02479 f Resondent^ Associated Planners Securities Corporation D. Vernon Willis REPRESENTATION For Claimants: John F. Gavin, Esq., Bardellini & Straw, San Ramon, California For Respondents: Philip McLeod, Esq. and Gordon C. Young, Esq., Keesal, Young & Logan, Sa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Michael Construction Co., Inc., The Michael Construction Co., Inc. Employee Pension Plan and Trust, and The Michael Construction Co., Inc. Money Purchase Plan and Trust, Claimants, vs. No. 92-02472 Prudential Securities Incorporated, and Ronald Fox, Respondents. REPRESENTATION OF PARTIES For Claimants: Thomas E. Buess, Esq., of Rosenstein and Buess, Chicago, Illinois.

P I ini ip LJ w wi O N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In (he Matter of the Arbitration Between Name of Claimants Kevin and Amy Louise Klem vs. 92-02470 Name of Respondents J.W. Gam and Associates. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 28, 1992, Claimants Kevin & Amy Louise Klem who appeared pro se, alleged that Respondent J.W.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimants Warner and Janice Sue Wolf vs. Case # 92-02469 Name of Respondents PaineWebber Inc. Scott Silver and Michael Millard REPRESENTATION For Claimants, Warner and Janice Sue Wolf ("Claimants"), Jeffrey P. Bloom, Esq., from the law firm of Metzger, Gordon, Scully & Mortimer. For Respondents, PaineWebber, Inc. ("PaineWebber")

N.A.S.D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimants William S. and Carole M. Watman 92-02458 Name of Respondents Wheat First Securities. Inc. Stanley Kotler William Butler REPRESENTATION For Claimants William S. and Carole M. Watman ("Claimants"): William S. Watman For Respondents Wheat First Securities. Inc.("Wheat"), Stanley Kotler (."Kotler") and William Butler ("Butl