N.A.S.D. ANKRD OP HHlflmJ.'l'J IflLj In the Matter of the Arbitration Between of dadoents J. Shanklin & Julia, C. - < a wiVH' n> JIHRQS; Itnoas J. fih»nirT< Ti f custodian foar Giit tO Thcmas J. ghj»nmTt f custodian £csr IdfltlO UQlf Gift to MinOTS Act; Idaho rfrii^ Gift tO MiOOTS Act; under the Idaho TThlf Gift to Minors Act; IRA. fbo TbOO8S J. fihanlpl 4 n pT.THf' aq mta^-frfH an » Julia C. vs. 92-0066

PUBLIC RATIONAL OF SECURITIES^ DEALERS ^ In che matter of the Arbitration Between Raymond M. warren, Jr. Claimant vs. Josephthal Lyon & Ross, Inc. Jerry Kenvpa Respondents CASE #92-00659 AWARD CASp SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 24, 1992, Claimant Raymond M. Warren, Jr. who appeared Pro S», alleged that Respondents Josephthal Lyon & Ross, Inc. and Jerry Kempa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In he Matter of the Arbitration Between Name of Claimants) Edmond R. Davis, Trustee of the Alyson Long Trust and the Jeffrey John Long Trust; Robert J. Long, Trustee of the Robert John Long Trust NASD Arbitration No.92-00651 Name, of Respondents) vidder, Peabody & Co., Inc. F. Samuel Coleman REPRESENTATION For Claimants: H Thomas Fehn, Esq., Fields, Fehn & Sherwin, Los

N.A.S.D. AWARD NKTXCNAL ASSOdAXICM OF SHJURlTUaS DEALERS In the Matter of the Arfcitzati.cn. Between Case * 92-00647 John R. Devlin Claimant, Jack F. Bentley, appeared pro s«. For Respondents, John R. Devlin, Michael L. Michael, Esq. of Tucker Anthony Incorporated. Statement of fia-i™ was filed on February 20, 1992. Claimant's Submission Agreement vas signed on February 18, 1392. Statement of Anmur vas filed by Respondent on April 7, 1992.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01621 Joseph Weinstein Name of the Respondent Hearing Site: Boca Raton, Florida A.G. Edward & Sons, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Joseph Weinstein, hereinafter referred to as "Claimant", appeared pro se. For A.G. Edward & Sons, Inc., hereinafter referred to as "Respondent": Nancy Anderson T

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number: 05-02622 Anthony T. and Jean Pelosi Anthony T. Pelosi on behalf of his IRA Jean Pelosi on behalf of her IRA Names of Respondents Hearing Site: Tampa, Florida A.G. Edwards & Sons, Inc. Brian A. Christensen Kashner Davidson Securities Corporation Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Parmanand and Renu Kumar, Claimants v. Brown & Company Securities Corporation and Mike Little, Respondents Case Number: 01-06876 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Marc I. Zussman, Esq. Law Offices of Marc I. Zussman Los Angeles, California For Responde

N.A.S.D. AWARD NATIQNMi ASSOCIATION OP HHUJy -1'i'TBg EEAUSRS / Sr. 92-00640 PaioaMebber, Inc. Philip L. DuBois Michael S. Pederloo Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York.N.Y. 10004 FAX (212) 858-4389 For d&ina&ti Ptor Reapoodeatst rgpnaaented by Jennif ex A. Statement of fn«< » filed: February 21, 1992. Claimant's Submission Agreement signed

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Kevin T. Donovan and Sandra Gonzales, Claimants v. Presidential Brokerage, Inc. and Erik Simmons, Respondents. Case Number: 99-03064 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: For Respondents: Stanley L. McDonald, Esq. Law Offices of Stanley L. McDonald San Diego, California Greg A. Johnson, Esq. Law Offices of Greg A.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: H. George Lundberg and Angelika M. Lundberg; Angelika M. Lundberg and H. George Lundberg JTTENAVROS; HGL Consulting/Research LTD, H. George Lundberg President; Lola D. Thomas Trust, H. George Lundberg Trustee and H. George Lundberg and Lola D. Thomas, JTTEN, Claimants v. PaineWebber, Inc. and David Yukio Qmura, Respondent. Case Number: 00-01074 Hearing Site: Honolulu. HI REPRE