N.A.S.D. AWARD NATICNM. ASSOdftnCK OP SECORTEES DEALERS In the Matter of the Arbitracica Between Of Vasiliki Douglas NASD Arbitration Mb. 91-03235 F. White & Co. KOncr G^^^^^^^^^°^ For Claimant; Irwin Stein ----- For Respondent; Patrick Baldwin, Esq. - Meolo Park, California Statement of Haim filed: October 16, 1391 Claimant's Submission Agreement signed on:Septenber 5, 1391 Statane&t of Anstmr and Counterclaim filed by Respondent, T

N.A.S.D. AWRED ^VPffl" * _! LRTTCtT OF In the Matter of the Arbitration Between of Douglas J. Beseta J vs. NRSD #91-032U PaineWefcfoer, lac. Gragoory Wallace For CLaJmant: H Ttonaa Pdm, Esq., Fields, Fehn. & Sbexwin, Los Angeles, For Respondents: Judy Louis, Esq., FaineWabber, Inc., Los Angeles, CBBB Statement of Halm filed: October 15, 1991 Claimant's Submission Agreement signed: September 24, 1991 Joint Statement of Answer file

N.A.S.D. AWARD NATIONAL ASSOCQTICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ttoluca Pacific Securities Corporation NASD Arbitration Kb. 91-03029 f Respondeata Mark Shoorak Kara ShmoraJc Dr. Frank Tacas Hal B. Phillips Douglas J. Phillips Phillips MsoagsDent Services NASD Arbitration Mo. 91-03203 Tbluca Pacific Securities Corporation Peter Blowitz SS Far Itiluca Pacific Se

N.A.S.D. AWARD NATICNAL ASSOCIATICN OP SECURITIES DEALERS In the Matter of the Arbitration Between Arthur Ashley Williams Foundation Case* vs. 91-03060 T*^ ' r d E.F. Button & Conpany, Inc. Sbearson T^hmnn Brothers, Inc. Robert Sarly vs. Third Party Respondent Clanent T. Lambert For Claimant: Patrick G. Finegan, Jr., Esq. For Respondent: George Richardson, III, Esq. of Shearson TieViran Brothers, Inc. Statement of

N.A.S.D. AWARD NXTICNAL ASSOCianQT OF SfcXmiTIES DEALERS In the Matter of the Arbitration Between. Thorns H. J. Tcnassen vs. NASD #91-02920 Mans of T.aVBTnrn, BXOtBBZS, IOC. Alan E. Shenker ciatdjoants For Respondents: John E. Jeokins, Esq., SbaaxscKi Lebnan Brothers, Inc. , Hew York, New York Statanoit of rn»< " filed: Septeoter Id, 1991 Claimant's Sulsnisaioa Agzecmetxt signed: Septcnber 9, 1991 Joint Statement of Answer filed by Ke

N.A.S.D. AWWZD ASSCdATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between of >ert J. Blnftele 91-02782 of Rea" rtnrfA "t(3) i f inc. Den Dalia Fee Claimant: Ibomas Watts, Esq. For Respondent: Colin Swainston, Esq. of Keesal Young and. Logan Statement of Halm filed: Septenber 5, 1991 Claimant's Subotissico AgsesnesA signed on: August 29, 1391 Joint Statement of Answer filed by Respondents on: October 31,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robinette Joos vs. NASD #91-02686 Name of Respondents Lutheran Brotherhod Securities Corporation, Athur S. Price REPRESENTATION For Claimant: J. Rogers, Esq. of Riddeil, Williams, Bullitt & Walkinshaw, Seattle, Washington. For Respondents: F. Huebner, Esq. of Helseli, Fetterman, Martin, Todd and Hokanson, Seattle, Washingto

N.A.S.D. AWARD NATICNAL ASSCdATICN OF SECORnTES DEALERS Ia~~tbe Matter of the Arbitration Between Orville S. McELniany HASD Arbitration vs ifo.91-02639 Shaarson !>frmn Brothers. Inc. Nicholas Maffeo For Claimant: Mr. Richard Sacks and Mr. James Sullivan, Esq. • Investors Recovery Service Pear Respondent: S. Scott Douglas, Esq. - Keesal, Young & Logan Statement of Claim filed: August 26, 1391 Claimant's Submission Agreement signed on: Nov

N.A.S.D. AWARD NATIONAL ASSOCIATION OF fjjjUlH I'i'i Htj DHAI£RS In the Matter of the Arbitration Between Ngne^ofjjZlaiinant Harold Nelscn. vs. 91-02435 P"ifn > Hliiit(s) BllttOn, £QC. Ken For daiaant: Mitchell C. Green, Eaq., Los Angeles, California. For Respcodents: E. Scott Douglas, Esq., Keesal, Young & Logan, Long Beach, California. Statement of Claim filed: August 7, 1991. Claimant's p***" 1 ^ pff^ r " Agreement

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Dave Sheldon and 99-02969 Kansas City, Missouri Name of Respondents Charles Schwab & Company, Inc. Olde Discount Corporation Principal Financial REPRESENTATION OF PARTIES Dave Sheldon ("Claimant") was represented by Darren K. Kearns, Esq., Overland Park, Kansas. Charles Schwab & Company, Inc. ("Respondent Schwab") was represented by Norman E. Siegel