NATICNAL ASSOdATICN OP N.A.S.D. AWARD DEM£RS In the Matter of the Arbitration Between. PaineWefcber, me. Mame of 90-03575 Baron Holdings Ccmpany Arbitration National Association of Securities Dealers, Inc. NASD Rnancial Center 33 Whitehall Street New York. N.Y. 10004 FAX (2 7 2) 858-4389 For Claimant: Edward Werner, Esq., in house counsel at PaineWebber, IDC. ("PaineWebber"). '' . For Respondent: Mr. Mark Sendo was th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS- In the Matter of the Arbitration Between Name of_ Betty Jacobson 90-03574 Name of Respondent (s ]_ Interstate/Johnson Lane Corporation For Claimant: Catherine N. Clutter, Esq. of Painter, Ratterrae, Connolly & Bart in Savannah, Georgia. For Respondent: Barry P. Harris, IV, Esq. of Interstate/Johnson Lane in Charlotte, North Carolina. Statement of Claim filed: December 20, 1990.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sheldon H. Werner AWARD Case # 90-03571 Name of Respondents Kopstein, Van Alen & Co., Inc. Martin Kopstein Mabon Nugent & Co. Heard before: Deborah Sherman, Esq. Public Arbitrator Bernard T. Pryor Public Arbitrator Ronald B. Curry Securities Arbitrator REPRESENTATION Claimant was represented by: John P. Fost

N.A.S.D. AWARD TSKTKKKL ASSOdflTICN OP ^Mllki-mos DEALERS In the Matter of the Arbitration Between Halt & Collins vs. NASD #90-03563 of Bflgf^n < < Lynn Susoef £ Fbr f^a^^n^fr/fv»m^^»T•^••»^aporv^a•^fc. David M. Greeobcrg, Esq., San Francisco, California. FOOT Rpflnnp < V >n *' Jlt /^Vv i t^T y *^ y^'»>"»T»^ * Jstoo Vlda., r^ 1 *" Fmidsoo, Statement of Ha-hii filed: December IS, 1990 Claiman

PUBLIC NXTIONRL ASSOCIATION OF N.A.S.D. AWftKD DEALERS In the Matter of the Arbitration Between Name of Claimant Larwill investaaQt N.V. 90-03553 Name of Pggggrejgnts Shearson Lehman Brothers, Inc. James Qunther Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Michael For Claimant: Peter R. Silvernan, Esq. of the law

N.A.S.D. AWARD NATIONAL ASSOdRTICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (s) Wendy vs. 90-03551 Name of Respondent (s) Leonard Gall Canelot invesoneut Corporation RPR Clearing Services Rminrher Pierce Refsnes,Inc. For daisants: Lloyd S. Wolf, Esq., Santa Monica, California ."For p»ffp-ff^^t/ f * rrua ?- 1?o ?r r " rfain ^' Camalot Swenson, Esq. , Los An

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wame nf thft P.laimflnt Case Number 04-00159 Kenneth C. Vass Names nf thft Respondents Hearing Site- Pittsburgh, PA Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., Jack Grubman, and Ronald Murad Nature of the Dispute: Customer vs. Member and Associated Persons ttF.PRF.SF.NTATTON OF PAHTITCS Claimant, Kenneth C. Vass, hereinafter referred t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE *90-03548 AWARD In the Matter of the Arbitration Between William E. Kirkland Claimant vs. SunTrust Securities, Inc. Respondent CASE SUMMARY Pro Se Claimant William E. Kirkland, in a claim filed with the National Association of Securities Dealers, Inc. on December 14, 1990, alleged that although he only owned a total of one thousand (1000) shares of UTL Corporation, Respondent SunT

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the GOCOTiTDftTED Arbitrations Between James B. Aldrich, as Trustee of the Frank C. Layng and Alice M. Layng Trusts James B. Aldrich Margaret Layng Aldrich William C. Elliott, Jr. William Jeffrey Konlo Jennifer Aldrich Konlo 90-00518 90-00913 90-01007 Kidder, Peabody & Co., Inc. Robert F. Kurtz, Jr. Third-Party Respondents James B. Aldrich Marg

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the CCNSdr.TnATKD Arbitrations Eetween Janes B. Aldrich, as Trustee of the Frank C. Layng and Alice M. Layng Trusts James B. Aldrich Jtergaret Layng Aldrich William C. Elliott, Jr. William Jeffrey Komlo Jennifer Aldrich Komlo 90-00518 90-00912 Kidder, Peabody & Co., Inc. Robert F. Kurtz, Jr. 90-01007 T'' n — Resondents Janes B. Aldrich