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

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Caryl K. Arckey 94-01675 Name of Respondents PaineWebber, Inc. Robert A. Clark CASE SUMMARY In a-claim filed with the,National Association of Securities Dealers, Inc. on May 5, 1994 Claimant Caryl K. Arckey, who appeared pro se, alleged that Respondents Robert A. Clark ("Clark") and PaineWebber, Inc. ("PW"), made misr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Bear, Stearns 8c Co., Inc. NASD Arbitration #94-01672 vs. Name of Respondent Richard A. Johnson, n REPRESENTATION For Claimant: Philip McLeod, Esq., and Peter J. Morgan, IE, Esq., Keesal, Young & Logan, San Francisco, California For Respondent: Richard A. Johnson, Esq., Payson, Arizona CASE INFORMATION Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mgme nf Claimant Robert L. Kraft 94-01670 Name of Respondent Merrill Lynch, Pierce Fenner & Smith, Inc. For Claimant Robert L. Kraft ("Claimant"): pro se For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") Daniel T. Fitch, Esq. of Stadley Ronon Stevens & Young TASK TTSTFORMATTON Statement of Claim filed: May 4, 1994

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arthur Moak 94-01668 Name of Respondents Nick Bhatti Ann Lowe CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 4, 1994, Claimant Arthur Moak, who appeared Pro Se, alleged that Respondents Nick Bhatti ("Shard") and Ann Lowe ("Lowe") failed to execute a transaction he requested. C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: A. G. Edwards & Sons, Inc., (Claimant) vs. Gary A. Greenberg, (Respondent) Case Number: 01-03037 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, A. G. Edwards & Sons, Inc., hereinafter referred to as "Claimant": Nuviah Shirazi, Esq. A. G. Edwards & Sons, Inc., St. Louis, MO. Respondent, Gary A. Greenberg, hereinafter referred to as "Respondent": Peter H. Abdella,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between i Name of Claimant Omar Aslaoui 94-01664 Name of Respondent Shearson Lehman Brothers, Inc. The Claimant appeared pro se. For Respondent Shearson Lehman Brothers, Inc. appeared Ellen Slipp, Esq., of Shearson Lehman Brother's in-house Counsel. CASE INFORMATION The Statement of Claim was filed on April 18, 1994. Statement of Claim update,