N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS hi the Matter of the Arbitration Between Name of Claimant si Refael Katz and Tova Katz 92-00432 Name of Respondent! s) Austin Securities REPRESENTATION For Claimant: Steven S. Segail. Esq. ot" Katz, Kleinbaum. Fatter & Segail. For Respondent: Cindy R. Penchuk on behalf of Michael M. Permian. Esq. a sole practitioner. CASE INFORMATION Statement of Claim filed: February 4

SENT BY;HQKARD $ HOWARD ; 9-29-92 ; 16:30 ; KALAMAZOO- 312 236 3239;# 2 09-29-1990 B2I3GPH FROH NflSD A-bitr*tion-Ch 10*90 TO ] 6163321568 P.03 H.A.S.D. AX*BD SAIIO«L ASSOCIATION OF SBCURZTZBS DBALSRS xn tha rtartar of tha Arbitration Batman Of f"l A4flUM* Tboaaa M. Kalty and 92-00431 Shaarion lAhttan Brothers, Inc. claimant was r«pr»»«nt«d by Joanna Kftlty of Grand Rapids r Kichigan. r«pr«««iktMd by Star* J. itaiBSr Bag. and Karen A.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUPTTTRS DEALERS In the Matter of the Arbitration Between Name of Claimant*^ Robert H. Eaton and Eula M. Eaton, Individually and as Trustees FBO Eula M. and Robert H. Eaton Trust Dated 3-15-1984 NASD Arbitration No.92-00430 Name of Respondent^ PaineWebber, Inc. Steven R. Baaden Raymond McClure REPRESENTATION For Claimants: Robert H. Eaton, Rancho Palos Verdes, California For Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between P 1 lot tp 1 o ^U (j Name of Claimant(s) Audrey Atlas 92-00427 Name of Respondentfs) Shearson Lehman Brothers, Inc. George Kimmel REPRESENTATION For Claimant Audrey Atlas: Gary N. Weintaub, Esq. of the law firm of Farulo. Caputi, Weintraub and Ne'ary. For Respondents Shearson Lehman Brothers, Inc. and George Kimmel: Paul R.

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #92-00426 AWARD In the Matter of the Arbitration Between Lillian Raffaelo Claimant vs. Josephthal & Co. n/k/a JSC Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 4, 1992, Claimant, Lillian Raffaelo, who appeared Pro Se, alleged that Respondent, Josephthal & Co., Inc. failed to have the name

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Herschel E. Zirger 92-00423 Name of Respondents Bear Stearns & Co., Inc. Steven R. Sheresky REPRESENTATION For Claimant: Patrick Gaas, Esq. and Kathy Hix, Esq. of Brewer .and Pritchard, Houston, Texas. Respondents: James C. Slaughter, Esq. of Fulbright and Jaworski, Houston, Texas, CASE INFORMATION Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant William F. Hill as administrator of the Estate of Martha Clarke vs. Case # 92-00420 Name of Respondent Alex Brown & Sons, Inc. REPRESENTATION For Claimant, Will F. Hill as administrator of the Estate of Martha Clarke ("Claimant"), Robert J. Lane, Jr., from the law firm of Hodgson, Russ, Andrews, Woods & Goodyear. For Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Case No. 92-00419 Patty J. Donatelli Name of Respondents Smith Barney Harris Upham & Co., Inc. Frederick G. McKeel Timothy R. Spang REPRESENTATION For Claimant, Patty Donatelli ("Donatelli"): Kalju Nekvasil of Goodman and Nekvasil, P.A.. For Respondents, Smith Barney, Harries Upham & Co. Inc. ("Smith Barney"), Frederick

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Raymond A. and Viola M. Chesnutt JTWROS and Raymond A. Chesnutt, Claimants v. Edward D. Jones and Co., L.P., Respondent Case Number: 01-00871 Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES For Raymond A. and Viola M. Chesnutt JTWROS, and Raymond A. Chesnutt, hereinafter referred to as "Claimants": Raymond A. Chesnutt, Raleigh, North Carolina. For Edward D.

N.A.S.D. AWARD C . NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Larry F. Grooms and 92-00417 Name of Respondents Sunpoint Securities, Inc. and Van Lewis, III REPRESENTATION OF PARTIKS Claimant appeared pro se. Respondent Van Lewis, III appeared pro ae and on behalf of Sunpoint Securities, Inc. CASE INFORMATION The Statement of Claim was filed on or about February 4, 1992.