Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph D. Keane, (Claimant) vs. Tasin & Co., Inc. and Mitchell Harris Sloane, (Respondents) Case Number: 01-02554 Hearing Site: New York, New York Claimant Joseph D. Keane ("Claimant"): John E. Lawlor, Esq., a sole practitioner, Mineola, NY. Respondent Tasin & Co., Inc. ("Tasin") did not enter an appearance in this matter. Respondent Mitchell Harris Sloane ("Sloane"): Roger J. Schwa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name i of Claimants Raymond. James & Associates, Inc. 92-04345 Name of Respondent Owen G. Parr REPRESENTATION For Claimant, Raymond James & Associates, Inc. ("Raymond James"): John N. Critchlow, Esq., of Raymond James & Associates, Inc. For Respondent/Counterclaimant, Owen G. Parr ("Parr"): pro sg. CASE INFORMATION Statement of

N.A.S.D. AWARD ION OF SECURITIES DEALERS Alvin Kitlica, Jr., Claimants, v. No. 92-04342 David Sonne, Thomas Mahon, and Shearson Lehman Brothers, Inc. Respondents. REPRESENTATION OF PARTIES Claimant Alvin Kitlica, Jr. ("Claimant") was represented by Michael Salcido, Esq., of the Law Offices of Michael Salcido, Phoenix, Arizona. Respondents David Sonne, Thomas Mahon and Shearson Lehman Brothers, Inc. ("Respondents") were represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mark S. Muller 92-04341 Name of Respondent Howard. Weil. Labouisse, Friedrichs, Inc. REPRESENTATION For Claimant: Mark S. Muller ("Muller") was represented by Mary Wimbush, Esq. of Mary Wimbush, P.C., located in Houston, Texas. For Respondent: Howard, Weil, Labouisse, Friedrichs, Inc. ("Howard Weil") was represented by Davi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Irene K. Palen 92-04340 Name of Respondent Fahnestock & Co., Inc. Lewis Klee REPRESENTATION For Claimant Irene K. Palen ("Claimant") appeared James Dolan, Esq., a sole practitioner located in Garden City, New York. For Respondent Fahnestock & Co., Inc. ("Fahnestock") appeared George Brunelle, a sole practitioner located in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Essie Darlene Han 92-04339 Name of Respondent William H. Sharp, doing business as. Consumer Financial Service Inc. For Claimant: Essie Darlene Hart appeared pro se. For Respondent: William H. Sharp, doing business as Consumer Financial Service Inc., appeared pro se. CASE INFORMATION Statement of Claim filed: December 29

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Alan and Paula Taylor The Tower Consulting Group, Inc. vs. 92-04332 Name of Respondents Titan/Value Equities Group, Inc. Oxford Consolidated Corporation Oxford Capital Securities, Inc. AJF Financial Services James A. Sehn Samuel O. Forson Heyward H. Mitchell Andrew J. Friedman REPRESENTATION For Claiman

N A.S.D- AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Mazur 92-04328 Name of Respondent David A. Noyes & Company REPRESENTATION For Claimant at the hearing: Mark S. Boyle, Esq., Chicago, Illinois. For Respondent at the hearing: Thomas P. Ward, Esq. of McBride Baker & Coles, Chicago, Illinois. CASE INFORMATION Statement of Claim filed: December 24, 1992. Claimant's Sub

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In (he Matter of the Arbitration Between Name of Claimants Robert Hesse; Joyce Hesse: and International Logistics, Ltd. • 92-04327 Name of Respondents Stratum Oakmont, Inc.; and William J. Mooney REPRESENTATION For Claimants: Robert Hesse, Joyce Hesse and International Logistics, Ltd. ("Claimants") were represented by Daniel R. Kirshbaum, Esq. of Axelrod, Smith, Komiss & Kirsh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donna Marino Case# vs. 92-04321 Name of Respondents Cowen & Company Donald G. Zifchak REPRESENTATION For Claimant, Donna Marino ("Claimant"), Christopher Mariey, Esq., located in Troy Fort, New York. Mr. Mariey withdrew as Claimant's counsel by letter dated January 5, 1994. For Respondents, Cowen & Company and Donal