N.A.S.D. AWARD NATIONAL ASSOCIATION OF SKCUKTTTTyS DEALERS. INC. In the matter of the Arbitration Between (laimant Marion Roen NASD Arbitration. No: 92-03646 Mamj* nf Respondents Kidder, Peabody & Co. Inc. Elton Bell REPRESENTATION For Claimant: Robert E. Dunne, Esq. • Morgan, Ruby, Schofield, Frnich fit Fredkin • San Jose, California For Respondents: William H. Phelps, Esq. - Kidder, Peabody & Co., Inc. - Los Angeles, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 92-03642 Name of Respondent Michael O'Neill REPRESENTATION For Claimant: John Camperlengo, Esq., Assistant Vice President, Prudential Securities. Inc. For Respondent: Respondent appeared Pro Se. CASE INFORMATION Statement of Claim was filed on October 23, 1992. Claimant's Submission Agreement

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02511 Cornelius Shields, claimant vs. Wit Capital Corporation, respondent. ATTORNEYS: Claimant appeared pro se, New York, NY. For Respondent appeared Charles M. Mattingly, Esq., in-house counsel, Old Greenwich, CT. DATE FILED: May 14, 2001 CASE SUMMARY: Claimant alleged that respondent placed incorrect information on his Form U-5 regarding the termination of his employment. Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jon L. Weingart, M.D., individually, and Jane Weingart, individually and Richard Zahn, M.D. and Jon L. Weingart, M.D., trustees of the Surgical & Medical Neurology Associates, Inc. Profit Sharing and Pension Trusts 92-03819 Name of Respondents Butcher & Singer, Inc. (n/k/a Wheat First Butcher Singer, Inc.) George S. Hoffman RE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Peter Danes Case# vs. 92-03799 Name of Respondents Mabon, Nugent & Co. Jeffrey A. Pollock REPRESENTATION For Claimant, Peter Danes ("Claimant") Dan Brecher, Esq., from the law offices of Dan BnScher, located in New York, New York. For Respondents, Mabon Nugent & Co. ("Mabon") and Jeffrey A. Pollock ("Pollock"), G. R

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tne Matter of the Arbitration Between Mame of Claimant Catherine P. Smith No. 92-03795 Name of Respondent Piper. Jaffray & Hopwood. Incorporated REPRESENTATION OF PARTIES For Claimant: Daniel L. Fowler, Esq* of Watson, Ess, .Marshall & Enggas. Kansas City, Missouri. For Respondent: Ronald C. Spradley, Esq> of Spradley & Riesmeyer, Kansas City, Missouri. CASE INFORMATION Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant E, Gregory Slover 92-03791 Names of Respondents Oil Investment Associates. Stanley Tax. Morgan Stacey a/k/a Michelle Stacey, Barbara McGuire. Production Management Associates, Inc., Property Management Associates, Inc. d/b/a PMA Operating Company REPRESENTATION Claimant, E. Gregory Solver appeared pro se. None of th

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS Name of Claimant Linda Armstrong No. 92-03785 Name of Respondents Rodman & Renshaw, Inc. Bernard E. Barr REPRESENTATION OF PARTIES For Claimant:: Michael B. White, Esq., Overland Park, Kansas. For Respondents: J. Michael Vaughan, Esq., of Weisenfels & Vaughan, Kansas City, Missouri. CASE INFORMATION Statement of Claim filed on or about: November 5, 1992. Claimant's Submiss

N.A.S.D.AWAKZ, ^ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimants Meyer and Charlotte Kauffman 92-03784 Name of Respondents Stratum Oakmont Howard Weinstein Jordan S. Belfort Kenneth S. Greene Daniel M. Porush REPRESENTATION For Claimants Meyer and Charlotte Kauffman ("Claimants") appeared Susan N. Perkins, Esq., of the law firm of Susan N. Perkins, P.C., located in New York, N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. TNG. In the matter of the Arbitration Between Name ot Claimants David L. Rice Lois E. Rice NASD Arbitration No.92-03781 Respondents Shearson Lehman Brothers, Inc. Dan Schmiech REPRESENTATION For Claimants: Robert A. Uhl, Esq., Aidikoff & Kesluk, Los Angeles, California For Respondents: Michael Gless, Esq., Keesal, Young & Logan, Long Beach, California CASE INFORMATION