AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between John W. Holley Grantor Trust, Barbara Wilson Holley, Mildred A. Pidgeon Revocable Living Trust, Article V Barbara Pidgeon Holley Trust, Article VII Barbara Pidgeon Holley Trust, John Holley and Elizabeth Holley, and Phillip Scott Holley, Claimants, and No. 95-02804 Kidder, Peabody & Co., Inc. and Thomas William Bodine, Respondents, REPRESENT

NATIONAL ASSOCIATION OF SECURITIES DEALKKS » In the Matter of the Arbitration Between Name of Claiiqqnt Richard Gross vs. CASE NO. 95-02755 Name of Respondents Reich &Co. t Inc. Joseph Tito REPRESENTATION Claimant Richard Gross ("Claimant") appeared pro se. For Respondent Joseph Tito ("Tito") appeared James M Maieilo, Esq., of the law firm of Anile & Associates Attorneys and Counselors at Law, located in Glen Cove, New Yo

AWARD NASD Regulation, Inc., Office of Dispute Resolution In the matter of the Arbitration Between NASDR Arbitration No.95-02726 Claudine St. Avalos (Purves) Claimant vs. Smith Barney, Inc. John Delahaye Respondent REPRESENTATION For Claimant: Dennis John Woodruff, Esq., Oakland, California For Respondent: Ben Suter, Esq., and Julie L. Taylor, Esq., Keesal, Young & Logan, San Francisco, California CASE INFORMATION Sta

JUL.10.1998 i:32PM NASD REGULflTION PL. NO.223 P.2/4 ,., N.A.8.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Edward A. & Catherine £. Alden 95-02700 Name of Respondent Cleaiing Services of America, Inc. REPRESENTATION The Claimants appeared pro se. For Respondent: Kenton Knickmeyer, Esq., of the law firm of Thompson Coburn, St. Louis, MO. CASE INFORMATION Statement of Claim

AWARD In the Matter of the Arbitration Between Name of Claimant Rick Robert Hoffman and Case Number 95-02227 Names of Respondents Stratton Oakmont, Inc. and Andrew Friedman REPRESENTATION OF PARTIES Claimant Rick Robert Hoffman was represented by Ben A. Wallis, Jr., Esq. located in San Antonio, Texas. Respondent Stratton Oakmont, Inc. was represented by Ron Schindler, Esq. of Fowler White Law Firm located in Miami, Florida. ; Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Helen K. Ruetsch and Alexander S. Drugos 95-02196 Name of Respondents Smith Barney Shearson, Inc. Anthony Crupi REPRESENTATION For Claimants Helen K. Ruetsch and Alexander S. Drugos ("Ruetsch" and "Drugos", respectively) appeared William A. Despo, Esq., from the law firm of William A. Despo, P.C. located in Newark, New Jer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number- 01-00967 NickJ.Batis Names of the Respondents Hearing Site- Pittsburgh, PA Ferris, Baker Watts, Inc. and Kevin CKrul RFPRFSFNTATION OF PARTIES Claimant, Nick J. Batis, hereinafter referred to as "Claimant", was represented by Arnold Y. Steinberg, Esq., Arnold Y. Steinberg, P.C., Pittsburgh, Pennsylvania. Respondents, Ferris, Baker Watts,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lou Kaczman 95-02001 Name of Respondents PaineWebber, Inc. Marilyn Carter CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 26, 1995, Claimant, Lou Katzman, who appeared Pro Se, alleged thai Respondents, PaineWebber, Inc. ("PWI") and Marilyn Carter-Larson ("Larson 11 ),

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alyson B. Katz 95-01999 Name of Respondents Shearson Lehman Hutton, Inc. n/k/a Smith Barney, Inc. Rheta W. Raven n/k/a the Estate of Rheta W. Raven CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 26, 1995, Claimant Alyson B. Katz ("Claimant"), who appeared Pro Se, alleged

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edgar A. Poe, III 95-01997 Name of Respondent A.S. Goldmen & Co.,Inc. Name of Third Party Respondent Curtiss B. Parker CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 26, 1995, Claimant Edgar A. Poe, III, who appeared Pro Se, alleged that Respondent A.S. Goldmen & Co., Inc. f