NASD Arbitration No. 95-04850 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Joseph Z. Ehrlich and Judith Ehrlich Name of Respondent(s) Smith Barney, Inc., Joanne D. Astle and S. Michael Astle REPRESENTATION For Claimants: ; Thomas M. Adams, Esq. Marina del Rey, California For Respondents: " Sean J. Coughlin, Esq. Smith Barney, Inc. New York, New York

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants $ National Association Securities Dealers. Tnc. David R. and Christine A. Basel Name of Respondents Prudential Securities, Inc. William H. Kost, Jr. 95-04674 All Rights Resend REPRESENTATION Claimants David R. and Christine A. Basel ("Claimants") were represented by William S. Burroughs, Jr., Esq., At

NASD Regulation, Inc., Office of Dispute Resolution Arbitration No. 95-04673; Award Page 1 of 5 NASD Regulation, Inc., FCVAL ORDER La the Matter of Arbitration Between Douglas Casavant, Michael Moore, Noel Adams, Ruby Adams, Edward Ferrari, Lute Eldridge, David Williams, Mark Lunski, William Ray, and Carolyn Browning, Claimants, and No. 95-04673 Dean R. Kennedy, Scott Kennedy, Richard J. Kennedy, Texakoma Financial, Inc., and Texakoma Oi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James Fiore Richard Van Steen Patrick Donelan David Steele 95-04672 Name of Respondents D. Blech & Company, Inc. David Blech REPRESENTATION For Claimants James Fiore ("Fiore"), Richard Van Steen ("Van Steen"), Patrick Donelan ("Donelan"), and David Steele ("Steele"): Bradley Schram, Esq. of Hertz, Schiam & Saretsky

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Akram Karadsheh, Bashar Karadsheh, Samir Karadsheh, individually, Samir Karadsheh and Farid Karadsheh, jointly Ramzi Karachy and Khulood Karachy, jointly, Holland Big Boy Inc., RLK Development, and Ramzi Karachy as Custodian for Leena Karachy, Nader Karachy, Niveen Shatara, and Samer Karachy, all Minors and Case Number: 01-01071 Hearing Site

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Kwok Yan Liu and Vincent W. Chiu Name of Respondent . Charles Schwab & Company, Inc. 95-04671 © National Associauor o< Securities Dcaters. Inc. AH Rights Reserve*: C4SEVI MARY In a claim filed with the National Association of Securities Dealers, Inc. on October 3,1995, Claimants., Kwok Yan LIU and Vincent W. Chiu ("Cla

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^s) Charles M. Mirotznik C National Association ef Securities Dcafcj-s. Ire. All Rights Reserved 9504670 Name of Respondents) Gruntal &, Co., Inc. Ehrenkrantz King Nussbaum. Inc. REPRESENTATION Claimant Charles M. Mirotznik appeared Pro Se. For respondents Ehrenkrantz King Nussbaum, Inc. arid Gruntal & Co., Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. 95-04669 Name of Respondent ^ Jeffrey D. Hurst REPRF^FTPOTATION For Claimant: Michael S. Taaffe,Esq. of the law firm of Abel, Band, Russell, Collier, Pitchford & Gordon, Chartered., Sarasota, FL ,;", ;v \ . For Respondent: The Respondent did not appear. r KC : ->::'• CASE INFORMATION Statement of Clam file

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Estate of Isaac Platt Laura Platt 95-04668 Name of Respondents Olde Discount Corporation James Murphy REPRESENTATION For Claimant, Laura Platt ("Platt"): Guy M. Bums, Esq. of Johnson, Blakely, Pope, Bokor, et al., Tampa, Florida. For Respondents, Olde Discount Corporation ("Olde") and James Murphy ("Murphy"): Karen

AWARD NASD Regulation, Inc. Office of Dispute Resolution. In the Matter of the Arbitration Between Doug Corley Claimant, v. No. 95-04667 -^Texakoma Financial, Inc., Texakoma Oil & Gas Corp., Dean R. Kennedy, Scott D. Kennedy, and Richard D. Kennedy Respondents. REPRESENTATION QF PARTIES ; Claimant Doug Cbrley vvai represented by G. David Westfall, Esquire, located in Dallasy.T2fct Or v£ 5 efk Respondents I'ex^oiinai Fii^ci^, Inc., Te