NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02833 Pri'ne Charter, LTD., claimant vs. Ken Aiello, respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, New York, NY. Respondent appeared pro se., Coconut Creek, FL. DATE FILED: May 30, 2001 CASE SUMMARY: Claimant alleged respondent failed to repay loan pursuant to the terms set forth in a Promissory Note. Claim Data Award Data Claim: $14,222.24 Award: $4,000.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between of (laimanr David M. Reynolds Cedd Moses NASD Arbitration No. 93-04750 For Claimants: For Respondent: REPRESENTATION InProSe Steven A. Lamb, Esq. - Paul, Hastings, Janofsky & Walker < Los Angeles, California CASE INFORMATION Statement of Claim filed: November 16,1993 Claimant's Submission Agreement signed: November 12,

N.A.S.D. AWARD * NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas J. Murray Award No. vs. 94-04747 Name of Respondents Joseph Charles & Associates, Inc. Paul Richman REPRESENTATION For Claimant, Thomas J. Murray ("Claimant") Steven Kramer, Esq., from the law firm of Steven Kramer & Associates, located in New York City. For Respondents, Joseph Charles & Associates, Inc. an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s') David Raymon 93-04742 Name of Respondents) Shearson Lehman Brothers, Inc. Scott Elsas REPRESENTATION For Claimant David Raymon: John A. Owens, Esq., of the law firm of Phelps Owens Jenkins Gibson and Fowler, Tuscaloosa, AL. For Respondents Shearson Lehman Brothers, Inc. and Scott Elsas: John P. Bevilacqua, Esq., in-

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Skapinskas Yonas 93-04740 Names of Respondents Shearson Lehman Button, Inc. Gerald Olin Lawrence Brachfield REPRESENTATION For Claimant, Skapinskas Yonas ("Yonas"): Martin A. Feigenbaum, Esq. of Miami, Florida. For Respondents, Shearson Lehman Button, Inc. ("Shearson"), Gerald Olin ("Olin") and Lawrence Brachfield ("Brachfie

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Martin R. Stern 93-04731 Name of Respondent Kemper Securities, Inc., successor in merger to Prescott, Ball & Turben, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 15,1993, Claimant Martin R. Stern, who appeared Pro Se, alleged that Respondent Prescott, Ball & Turben

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Regina M. DelSignore 93-04730 Name of Respondent Smith Barney Shearson, Inc. REPRESENTATION OF PARTIES Claimant Regina M. DelSignore ("DelSignore") was represented at the hearing by James T. Haynes. Esq. of Stapleton Nolan & McCall P.A., St. Paul, Minnesota. Respondent Smith Barney Shearson, Inc. ("Smith Barney") was represente

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Victor H. Hemmy, Sr. Florence S. Hemmy Victor H. Hemmy, Jr. Candace P. Hemmy NASD Arbitration No.93-04729 Name of Respondents Prudential Securities, Inc. First Honolulu Securities, Inc. Gregory F. Kowal RFJ»RKSENTATTQN For Claimants: Cedric Choi, Esq., Honolulu, Hawaii For Respondents: Prudential Secu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Applied Photonics, Inc. 93-04716 Name of Respondent Thomas James Associates, Inc. REPRESENTATION For Claimant Applied Photonics, Inc. ("Claimant") appeared Thomas V. Dana, Esq., a sole practitioner located in New York, New York. For Respondent Thomas James Associates, Inc. ("Respondent") appeared Susan A. Roberts of the law fir

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between N.ame.of Claimant William P. Wilson 93-04714 Name of Respondent Smith Barney Shearson, Inc. REPRESENTATION For Claimant William P. Wilson ("Claimant") appeared Robert Tofel, Esq. and Jamie Batterman, Esq., of Tofel Berelson P.C. located in New York. .1 3 .- For Respondent Smith Barney Shearson, Inc. ("Respondent") appeared its repres