N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Name of CJ.aimant:{a} Jtertin Craig Strickland 90-02094 Name Qf Resprinrtonl-.f fi) Shearson Lehnan Hutton, Inc. Heard before: Name Daniel E. Gulden, Esq. Public / Industry Public Arbitrator Appearance of Counsel: ftortin Craig Strickland Shearson Lehman Hutton, Inc. pro se Sara Anne Ford, Esq. of Peterson Dillar

N.A.S.D. AWARD NATIONAL ASSOdATICK OF SECURITIES DEALERS In the Matter of the Arbitration Between Q£ Nils B.R. Carlson AWARD vs. NASD #90-02092 Q£ Sacks Securities, Inc. Richard Sacks Gruntal & Coopany, Inc. For dainant: Wbrth H. Morton, Santa Rosa r California FOOT Sacks Securities, Inc.l: Richard Sacks Richard Sacks: } Nbvato, California Gruntal & Ccnpany: Eric S. Hutner, Esq., Gruntal & CVufwry, New York, New Yorfc

M I\ C Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the frtotter of the Arbitration Betvreen Name of maimant-.{a) Dorian L. Peterson & Kristine A. Grinder 90-02091 Name of Respondentfs) Shearson Lehman Iftitton, Inc. National Association of Securitltt Orators, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Heard before the arbitration Arbitration Panel *- Name Public/Industry ftarvin

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Nicolas Trivich Claimant V S Case #90-02090 i Oppenheimer and Company, Inc. Respondent SUMMARY Nicolas Trivich, in a claim filed with the National Association of Securities Dealers, Inc. on July 30 f _1990, alleged inappropriate handling of his account by an untrained, P 00 ^ supervised employee at Oppenheimer and Company, Inc. H

N.A.S.D. AWARD "i NATIONAL ASSOCIATION OF SECURITIES DEALERS L ; In the Matter of the Arbitration Between ~ Name of CJ a i manf. i s i Huguette Wilson Family Trusr. 90-02089 Name < pf Respondent f s 1 Stuart Janes Company, Inc. Claimant was represented by Alexander L. Haus, Esq. Respondent Stuart-James was represented by John ifcBride, Esq. This matter was initiated by a Statement of Claim filed with the National Association of Securities

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Suzanne Decker 90-02087 Mama of PaineWebber, Inc. Robert Moore In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about July 30, 1990, Suzanne Decker ("Claimant") alleged that Robert Moore ("Moore") a registered representative of PaineWebber, Inc. ("PaineWebber") (collectively as "Respondents") made materi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: of thp Plaimant jpagp Wnmbpy 00-04526 Scott Carpenter nf tVjp "Rp-sprmftents: Hfiarir|g Sj-fp- Philadelphia, Pennsylvania Merrill Lynch Pierce Fenner & Smith, Inc. Thomas A. Seiler Charles J. Haraburda n Claimant, Scott Carpenter (''Carpenter") hereinafter referred to as "Claimant": represented by John E, MacDonald, Esq., Stark & Stark, Lawrenceville, NJ. Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stanley Jerry Hoffman, et al v. Charles Schwab & Co., Inc. and Lincoln M. Gima Case Number: 00-00461 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Stanley Jerry Hoffman Brave New World Defined Benefit PP & Trust For Respondents: Charles Schwab & Company, Inc. Lincoln M. Gima Richard D. Farkas, Esq. Law of Office of Richard

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard C. & Cheryl A. Baxley 90-02086 Name of Respondent James Mahoney In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about July 30, 1990, Claimants Richard and Cheryl ("Claimants") alleged that James Mahoney ("Respondent") a registered representative with Blinder Robins

Arbitration JT.A.S.D. AHMJD National Association of Securities Dealers, Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS NASD Financial Center 33 Whitehall Street In the Matter of the Arbitration Between New York, New York 10004 Name of Claimant Geraldine R. Doriss 90-02081 Name of Respondent Douglas Bremen & Co. For Claimant: Christopher Level l r Esq. For Respondent: Respondent was not represented at the hearing; however, on