Stipulated Award And Order of Expungement NASD Dispute Resolution In the Matter of the Arbitration Between: Jesse R. Bueno, et al. v. Charles Schwab & Co., Inc. and William Martin Case Number: 01-00881 REPRESENTATION OF PARTIES For Claimants: Howard Wollitz, Esq. CHARLESTON, REVICH & WILLIAMS LLP 1840 Century Park East, Third Floor Los Angeles, CA 90067-2104 For Respondents: Lowell Haky, Esq. Charles Schwab & Co., Inc. Office of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Berenice Piepgrass 92-01691 Name of Respondents Shearson Lehman Brothers, Inc.; Patrick Cass REPRESENTATION For Claimant: Berenice Piepgrass was represented by David K. Foster, Esq. of Johnson & Christopher, Inc., located in San Antonio, Texas. For Respondent: Shearson Lehman Brothers, Inc. and Patrick Cass was represented

N.A.SJX AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Marjorie Virginia Crump and 92-01689 Name of Respondents Sheaison Lehman Brothers, Inc. Samuel D. Simpson REPRESENTATION OF PARTIES Marjorie Virginia Crump ("Claimant") was represented by Artie G. Giotes, Esq. of Pakis, Giotes, Beard &. Page, Waco, Texas. Shearson Lehman Brothers, Inc. and Samuel D. Simpson ("Responden

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas W. Brice, indiv. and as executor Smith Barney Harris Upham & Co., Inc. John B. Davidson 92-01680 REPRESENTATION For Claimant, Thomas W. Brice ("Brice"): Robert D. McDonnell, Esq. For Respondent, Smith Barney, Harris Upham & Co., Inc. ("Smith Barney"): Larry A. Inom, Esq. of Smith Barney. Respondent, John B. Davidson

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ronald L. and Laura A. Thompson vs. 92-01679 Name of Respondent Kennedy, Cabot & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 19, 1992, Claimants Ronald L. and Laura A. Thompson, who appeared Pro Se, alleged that Respondent Kennedy, Cabot & Company failed to

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Thomas Kelierman Claimant vs. Best Investors Group, Inc. Glen Ostrowski, HI Respondents CASE #92-01678 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 19, 1992, Claimant Thomas Kellerman, by and through his counsel, Peter P. Charnetsky, Esq. of Butler, Allen, Claiic & Place, Vestal,

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #92-01677 AWARD In che Matter of the Arbitration Between John J. Killeen Claimant vs. First American Biltmore Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 19, 1992, Claimant John J. Killeen, who appeared Pro Se, alleged that Respondent First American Biltmore Securities, inc. failed to follow

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Gordon Robert Foster, Jr. 92-01676 Name of Respondent^ J.W. Gant and Associates, Inc. Oi iCii id Carlton W. Fleming, Jr. REPRESENTATION For Claimant Gordon R. Foster, Jr.: Charles M. Dalziel, Esq. of the law firm of Savell & Williams. The Respondent J.W. Gant & Associates, Inc. did not attend the hearing. The Respondent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between of (Claimant JosephB. Aquilla "Nfamp First Union Securities, Inc. Case No. 01-00878 ing Site: Baltimore, Maryland RFPR S TVATTOTV O17 Claimant, Joseph B. Aquilla, hereinafter referred to as "Claimant": R. Stewart Barroll, Esq., Cookerly & Barroll, Chestertown, Maryland. Respondent, First Union Securities, Inc., hereinafter referred to as "Respondent": Brian A.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Gary S. Sklar 92-01675 Name of Respondent s) Smith Barney Harris Upham & Co., Inc. Theodore A. Schwab REPRESENTATION For Claimant Gary S. Sklar: Walter D'UH. For Respondents Smith Barney, Harris Upham & Co.. Inc. and Theodore A. Schwab: Hugh M. McGovern, Esq. CASE INFORMATION Statement of Claim filed: May 15. 199