N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Societe Generate Securities Corp. 95-01991 Name of Respondent Jason MacKenzie Securities Corp. REPRESENTATION For Claimant, Curtis Pew, Esq. from the law firm of Baker & McKenzie, New York, NY Respondent did not appear at the evidentiary hearing conducted in this matter CASE INFORMATION Statement of Claim filed: April 21, 1995

N.A.S.D. AWARD •-ATIONAL -'::SOC:ATIOM OF SECURITIES DEALERS NASD Case No. 95-01982 in rhe .vi.ii.icf i»f the Arbitration Between Name of Claimant -lames F. Murphy Name of Respondents A.S, Goldmen & Company. Inc. Christopher D. Panza Robert F. Fox Terrence J. Murphy Stuart E. Winkler Foster Gibbons REPRESENTATION Claimant James F. Murphy, Sr. appeared pro se. For Respondents, A. S. Goldmen & Co. ("Goldmen"), Robert Fox ("

NASD A WARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert Hicks, Claimant, v. No. 95-01976 Prudential Securities Incorporated, and William Roll, Respondents. REPRESENTATION OF PARTIES Robert Hicks ("Claimant") was represented by Stuart R. Berkowitz, Esq., of Platke & Berkowitz, St. Louis, Missouri. Prudential Securities Incorporated ("PSI") and William Roll ("Roll") (collectively referre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Jeffrey P. Woloson vs. NASD Arbitration No. 95-01972 Name of Respondent J. B. Hanauer & Company Geoffrey Newman REPRESENTATION For Claimant: A. Kendall Wood, Esq., Hinchy, Witte, Wood, Anderson & Hodges, San Diego, California For Respondent J. B. Hanauer: Richard C. Szuch, Esq., Lowenstein, Sandier, Kohl, Fisher

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank Frampton 95-01958 Name of Respondents Charles A. Anderson Ronald Strack Randall J. McNiece Empire Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 21, 1995, Claimant, Frank Frampton, who appeared Pro Se, alleged that Respondents, Charles A. Anderson

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Carl K. and Lisa Mirrer 95-01955 Name cf Respondents A.S. Goldmen & Co., Inc. Christopher Panza CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 21, 1995, Claimants Carl K. and Lisa Mirrer ("Claimants"), who appeared Pro Se, alleged that Respondents A.S. Goldmen & Co., Inc. (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph H. Reynebeau 95-01947 Name of Respondents Piper Jaffray, Inc, Gerard Johnson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 21, 1995, Claimant Joseph H. Reynebeau ("Claimant"), who appeared Pro Se, alleged that Respondents Piper Jaffray, Inc. ("PJI") and Gerard Johnso

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Herbert Rothberg 95-01946 Name of Respondents Prudential Securities, Inc. Barrett N. Sinowitz CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 19, 1995, Claimant Herbert Rothberg ("Claimant"), who appeared Pro Se, alleged that Respondents Prudential Securities, Inc. ("PSI"), a

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION AWARD NASD REGTJLATTON. TNC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Names of Claimants Living Trust of John P. Klugh and Klugheit Inc. Name of Respondent(s) Dean Witter Reynolds, Inc. NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 95-01941 REPRESENTATION For Claimant: For Respondent: Kenneth L. Powell, Esq. Law Office of Kenn

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Kenneth F. Kearsley; Barbara M. Kearsley; Kenneth F. Kearsley and Barbara M. Kearsley, Trustees for Kearsley Family Trust Dated 6/21/78; Mary K. Bruggman Trust by Barbara M. Kearsley, Trustee; William K. Kearsley; Mary Margaret Kearsley; and Barry Avenue Plating Profit Sharing Plan by Brice Kearsley, in, Plan Committee Member Name of Pesp