N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitratibn Between Name of Claimant Francis Yarbrough 95-01491 Names of Respondents Prudential Securities, Inc. and Michael S. McLean REPRESENTATION For Claimant: William S. Shepherd, Esq. of William S. Shepherd & Associates located in Houston, TX. For Respondents: Donald R. Littlefield, Esq. of Prudential Securities, Inc. located in Dallas, TX.

In the Matter of the Arbitration Between Name of Claimant LaVon F. Bond and 95-01488 Names of Respondents Prudential Securities, Inc., Larry E. Kerr and Carl Busch REPRESENTATION OF PARTIES LaVon F. Bond ("Claimant") was represented by Randall K. Calvert, Esq., Sole Practitioner, located in Oklahoma City, OK. Prudential Securities, Inc., Larry E. Kerr and Carl Busch ("Respondent") was represented by Donald R. Littlefield, Esq. of Prudential Secu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ American Classics Inc. and Pamela J. Prive 95-01486 Name of Respondents) Hanover Sterling & Co. Lowell Schatzer Mark Antonucci Mark Mancino David Sayid For Claimants American Classics, Inc. (" ACI") and Pamela J. Prive ("Prive"): Neal Baritz, Esq. of Dreier & Baritz, Boca Raton, FL. For Respondent Mark Mancino ("Ma

NASD REGULATION, INC. FINAL ORDER In the Matter of the Arbitration Between Name of Claimant Mary Terese Campbell 95-01484 Name of Respondents Cantor Fitzgerald & Co,, Inc. Howard William Lutnick Harry Needleman REPRESENTATION For Claimant Mary Terese Campbell ("Claimant") appeared P.J. Murphy, Esq. of the firm Murphy & O'Connell, located in New York, New York. For Respondents Cantor Fitzgerald & Co. ("Cantor"), Howard William Lutnick ("L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith Inc 95-01482 Name of Respondent Nicholas Leone REPRESENTATION For Claimant: John R. Cummings, Esq., in-house counsel at Merrill Lynch Pierce Fenner & Smith Inc. New York, NY. For Respondent: Nicholas Leone appeared pro se. CASE INFORMATION Statement of Claim filed: March 24, 1995.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Paul I. Kleinberg 95-01475 Name of Respondents PaineWebber, Inc. George Keith REPRESENTATION For Claimant Paul I. Kleinberg ("Claimant"), appeared Gary A. Feder, Esq. of the Law Practices of J. B. Grossman, located in Fort Lauderdale, Florida. For Respondents PaineWebber, Inc. ("Painewebber") and George Keith ("Keith"), co

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of 'the Arbitration Between Name of Claimant Thomas Roth 95-01474 Name of Respondent Jordan Belfort Matthew L. Bloom Christopher Finkle Daniel Porush Stratton Oakmont, Inc. REPRESENTATION For Claimant Thomas R. Roth ("Claimant"): Richard C. Szuch, Esq. and Nancy Chung, Esq., of the law firm of Lowenstein, Sandier, Kohl, Fisher & Boylan, Rose

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Janney Montgomery Scott, LLC, (Claimant) v. Rock Island Securities, Inc., (Respondent) Case Number: 00-04651 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Janney Montgomery Scott, LLC ("Scott"): Todd D. Brody, Esq., Morgan Lewis & Bockius, LLP, New York, New York. Respondent Rock Island Securities, Inc. ("Rock Island"), hereinafter collectively referre

N.A.SJX AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harold E. Fox Award No. vs. 95-01468 Name of Respondent Legg Mason Wood Walker, Tnc REPRESENTATION Claimant Harold E. Fox ("Claimant") appeared pro se. For Respondent Legg Mason Wood Walker, Inc. ("Respondent"), appeared John R. Gilner, Esq., In- house counsel located in Baltimore, Maryland. CASE INFORMATION Stateme

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant Cheryl A. Hieronymous v. Name of Respondents PaineWebber, Inc., Charles R. Norwood and Mort Brown For Claimant: REPRESENTATION Cheryl A. Hieronymous, Pro Se Bakersfield, California For Respondents: Kathryn L. Krebs, Esq. PaineWebber, Inc. Los Angeles, California CASE INFORMATION Statement of Claim file