N.A.S.D. AWftED OF In ttm Matter of tba Arbitration Between NftSD #92-00452 Fi_LdL 3nw8tocs Corp. For TiMp-mrhrnfr Steftoen. 6. Ttiputxmf, Esq., Kizkpatrick & Locktaaxt, l, D.C. StatBKt of njim filedt Fobtuaty 6, 1992 Situri Hn1rn Agxwnent slgnads January 24, 1992 StatoHot of AMMMC filadi April 20, 1992 :'s Subndflsion Agreenoat nlgnadt ^Eil 10, 1992 Hearing Data/SftMicut , October 8, 1992 - three Hearing Location) Seattle, Washingto

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., Claimant v. Lewis E. Waldeisen and Helen I. Waldeisen, Respondents Case Number: 99-02981 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Mauricio S. Beugelmans, Esq. Charles Schwab & Co., Inc. San Francisco, California For Respondents: William S. Bonnheim, Esq. Anderholt, Bonnheim & Casden, L.L.P. In

N.A.S.D. AWARD NATICNRL ASSOCIATICN OF SfcX.UkIT.LES In the Matter of the AriDitration Between. Name of nalimnt(3) Brandon, L. Wilson vs. 91-04052 ShMrnnn Lehman Button, Inc. Darwin D. Hoetelley Robert G. Baker Robert Hennessey w* f, BladCBl Frank B. Powers, Jr. For Claimant: Ralju Nefcvasil, Esq., g^***"*" & Nefcvasll, P.A., Safety Harbor, Florida For Reapondants Shearacn Labnaa Button, Inc., Robert G. Baker, Robert Hennesse

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tiie Matter or the A irw ration Between D( | D i in rUDLiu IT r;.uiii;mn < > Linda J. Williams 91-03956 Name or' Respondent! s> A.G. Edwards < fc Sons. Inc. Dennis \Varp W'illiam Smith REPRESENTATION For Claimunt Linda J. Williams: Dennis Workman. Esq.. sole practitioner. For Respondents A.G. Edwards &. Suns, Inc.. Dennis Warp and William Smith: Jeff Jamieson.

N.A.S.D. AWRRD NATICNAL ASSCCEMTCN OF SECURITIES DEALERS In the Matter of tfca Arbitration Between frfatrn* of ^ r ^a^Tna«t Jade Tswtebury vs. Securities Settlement Oaipaiation Gilford Securities Incorporated Marvin Ingzam NASD Arbitration No. 91-03817 For Claimant: la Pro Se For Respondent: Securities Settl Ji i ^»f i mu '< ^ For Sespaadent: Gilford Securities Incorporated - Mudc Jones, Esq. Selvia, We

NAHCNAL ASSOCIATION OF N.A.S.D. AWARD DEALERS In the Matter of the Arbitration. Between Jerry L. Marstall 91-03392 Smith Barney Harris Obham 6 Co., Inc. Joseph 0. Kringdon For Claimant: Thonas H. Tucker, Esq. of McGowan, Engel, Tucker, Garrett & Schultz. For Respcodantst David Priettoan, Esq. of Inc. in New York City. Barney, Harris U£bam & Co., Statement of Halm filed: October 28, 1391. Claimant's Submission Agreement signed on

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Boston Investment Group. LLC. Claimant vs. National Securities Corporation and Robert Thorson, Respondents. Case Number: 99-02980 Hearing Site: Seattle, WA REPRffSENTATIQN OF PARTIES Claimant, Boston Investment Group, LLC (hereinafter referred to as "Claimant"): Bruce Wilcox, Esq., Lukins & Annis, P.S., 1600 Washington Trust Center, 717 W. Sprague Avenue, Spokane, W

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant) s) Jerry Godsey and Anne Godsey 91-03720 Name of Respondeni(s) Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATION For Claimants, Jerry and Anne Godsey ("the Godseys"): Thomas E. Warner. Esq. of Warner, Fox, Seeley & Dungey. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch"): John J. Kilkenny, E

N.A.3.D. AWARD NATIONAL ASSQCIAHQNf OF S^-TJKJ'i'lKS DEALERS In the Matter of the Arbitration. Between o£ Claiflg"t3 Martel Barbara Martel NASD Arbitration No. 91-03706 Name of Respondents Private Portfolios, Inc. Fritz araaser For i"*!? •*< "•"**< «? Paul M. Garden, ESQ. • For Hfispandantsi Patrick Baldwin, Esq. - Menlo Paadc, Statanect of Claim filed: November 25, 1991 Claimants' Subnisaion Agreanant sigoad onz itoveuLer 7, j

N.A.S.D. AWARD NATICNKL AS5CCTRT11H OF SHJUKjLT.LHS DEALERS In the Matter of tha Arbitration Between of William C. Salke Eknna B. RaDce NASD Arbitration Ho. 91-03584 Painewebber, Inc. Lee W. catey Par Oainant: Edward Werner, Esq. - PnlnMiebbsr, Inc. For Respondent: TV-MI* Blake Jtartiflscn, Vlata, California Statemeat of Halm fllads Nov«b«r 13, 1991 daioants 1 Suboisaian Agreanaat signed cot Nbvcnbar 18, Joint Statanaat o