AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between David Blom, Claimant, and No. 96-02687 Prudential Securities, Inc., and William Mark, Respondents. REPRESENTATION OF PARTIES • Claimant David Blom ("Claimant 1 *) was represented by Mark E. Sanders, Esq. of Hailing & Cayo, S.C. located in Milwaukee, Wisconsin. ^- Respondent Prudential Securities, Inc. ("PSI") was represented by G

N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Alvin Blick 96-02684 Name of Respondents Stratton Oakmont, Inc.; Paul N. Sewcharran; Daniel M. Porush; Jordan I. Shamah; Andrew T. Greene; Paul F. Byrne; Mathias V. Tiffert; and Leonard Dunn REPRESENTATION For Claimant: Alvin Blick ("Blick") was represented by Linda C. Frazier, E

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Roshan Pourhaghighat v. Name of Respondent Prudential Insurance Company of America Arbitration No. 96-02683 REPRESENTATION For Claimant: For Respondent: Michael A. Kale, Esq. Michael A. Kale, P.C. Los Angeles, California Michael P. Calof, Esq. Law Office of Michael P. Calof, Inc. Woodland Hills, Cali

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joan M. Kenny, Claimant v. James Vernale, Fidelity Brokerage Services, Inc. and John A. Klobe, Respondents Case Number: 01*02126 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: James Jay Seltzer, Esq. Law Offices of James Jay Seltzer Emeryville, California For Resp

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Charlotte Warwai v. Name of Respondent Michael A. Darany, C.F.P.. New England Securities Corp., A.P.G. Investment Trust & A.S.I.T. Corp.. American Financial Group. Community Housing Fund. Jerry Dean McGlothlin, Sentra Securities Corp., Richard Paul Woltman, Joseph Coelho, and Jack Oliver Arbitration No. 96-0268 1 REPRESENTATION For Claim

AWARD NASD REGULATION. INC.. OFHCI£ OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Juliana Osinchuk v. Arbitration No. 96-02680 Name of Respondents Fahnestock & Co,, Inc. Reich & Co., Inc. Christine G. Hasslach REPRESENTATION For Claimant: Richard L. Sadler, Hsq.. Copeland. Landye, Bennelt and Wolf, Portland, Oregon For Respondents Fahnesiock & Co. and Reich & Co: Albert R. Peacock. F;sq., KeesaJ. You

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Leonard Franklin Schaefer, Claimant, and No. 96-02676 Lehman Brothers Inc., Respondent. REPRESENTATION OF PARTIES Claimant Leonard Franklin Schaefer was represented by Stephen L. Schaefer, Esquire, located in Austin, Texas. Respondent Lehman Brothers Inc. was represented by Jack D. Ballard, Esquire of Ogden, Gibson, White & Broocks, LLP, located

NATION; \LERS In the Matter of the Arbitra, ) Name of Claimants ) National Family Care Life Insurance Company ) ) 96-02673 Name of Respondents ) Pauli & Company, Inc. ) Bear Stearns Securities Corporation and ) JohnJ. "Jack" Kenny ) ) Name of Third-Party Claimants ) Pauli & Company, Inc. and ) Bear Stearns Securities Corporation ) ) Names of Third-Party Respondents ) Cohig & Associates, Inc. and ) Hanifen-Imhoff, Inc.

N.A.S.D. AWARD THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between DEAN WITTER REYNOLDS INC. , V. JAMES D. BECKER, Claimant, ) ) ) ) Respondent. ) ) NASD Arbitration No. 96-02667 REPRESENTATION For Claimant Dean Witter Reynolds Inc., David C. Boch, Esq. and Jason Frank, Esq. of the law firm of Bingham, Dana & Gould LLP. For the Respondent James D. Becker, Richard W. Kearney, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Olde Discount Corporation 96-02663 Name of Respondents Ronald Greenberg Judith S. Greenberg CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 21, 1996, Claimant Olde Discount Corporation ("Claimant"), through its representative and in-house counsel, Robert Anderson, Esq., allege