AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Gary Kean and Helen J. Kean v, Arbitration No. 97^02821 Name of Respondents') Cruttenden Roth, Inc. Don Milin Guy Archbold REPRESENTATION For Claimants: Douglas B. Martin, Jr., Esq. San Francisco. California For Respondents Cruttenden Roth, Inc. and Guy Archbold: John R. Loftus, Esq. Keesal, Young & Logan

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Francisco JuKo Lerma Sanchez, Netty Lerma de Sanchez, Olga Lerma de Uritw, Clapco Inc.. Theorema Inc. Sweiz Holding Ltd., Centrum Invest A Trade Ltd., Mussili Ltd., Sunset Enterprises Inc. and Germanies Finance Ltd. v. PaineW&bt)er Inc., Enrique Ernesto Perusquia and Lehman Brotfters Inc. Attorneys: For Claimantfs): Ralph A Midkiff Esq. - Houston, TX For Respondents): Enrique Peru

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Penny Coleman v. Shearson Lehnun Brothers Inc.; Smith Bamey Shaarson and Thomas Cox Attorneys: For Claimantfs): Bruce S SchaeHer Esq - New York. NY For RaspondenlfB): Linda Alpert Esq. - New York, NY Date Filed: 09/21/94 First Scheduled: 05/22/95 Decided: \j^yijSig/'^' ^ if^S^ Case Summary: Customer sdteges Respondents Induced her to Invest In unsuitable securities in violation of

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jcwilan C. Pmti V. CharlM Schwab & Co. Attorneys: For Oaimantfi): C. Scott Crabtrw Esq. - Denver, CO Marianne Rerce Esq. • Denver. CO For ReapondentM: Tim J. Emert Esq. - San Francisco, OA Date Filed: 01/19/94 Rrst Scheduled: O6/15/94 Decided: 06/15/94 Case Summary: Claimant alleges breach of Implied employment contract, wrongiful termlnatian, datamation breach of expr

NASD Regulation, Inc., Award In the Matter of Arbitration Between Principal Financial Securities, Inc., Claimant, and No. 97-02818 Jay Pease, Steve Hurt and Robert Thomas Securities, Respondents. REPRESENTATION OF PARTIES Claimant, Principal Financial Securities ("Principal") was represented by Retta A. Miller, Esq. of Jackson & Walker, L.L.P located in Dallas, Texas. Respondent, Robert Thomas Securities ("Robert Thomas") was represented by

Second Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-05101 Uzi Barany Nechama Goldblat Names of the Respondents Hearing Site: Boca Raton, Florida Sands Brothers & Co., Ltd. Steven Sands John Teifer Leila Shuminer William A. lommi, Sr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Uzi Barany ("Barany") and Necha

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-05101 Uzi Barany Nechama Goldblat Names of the Respondents Hearinq Site: Boca Raton, Florida Sands Brothers & Co., Ltd. Steven Sands John Telfer Leila Shuminer William A. lommi, Sr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Uzi Barany ("Barany") and Nechama Gold

Modified Award NASD Dispute Resolution In the Matter of the Artaitration Between: Barbara Newman (Claimant) vs. Gladowsky Capital Management Corp. (Respondent) Case Number: 05-04190 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Barbara Newman, hereinafter referred to as "Claimant": Judy Mok, Lincoln Square Legal Services, New York, NY. Respondent Gladowsky Capital Management Corp., here

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-03030 Douglas M. Cherry, Lance K. Dyess, Ira J. Edmundson, Jimmy E, Jones, Rachel McKinney, Linda J. Middleton and Victor E. Stafford Name of the Respondent Hearing Site: Birmingham, Alabama Raymond James Financial Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Douglas M. Cherry ("

02/13/98 FRI 18:59 FAI NASD REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants The Lumiere Companies, Inc., Lumiere Securities, Inc., and Lawrence I. Kravetz and 97-02816 Name of Respondents Allen L. Conkling Richard Talley OF PARTIES The Lumiere Companies, Inc., Lumiere Securities, Inc., Lawrence I. Kravetz ("Claimant") was represented by William D. Nels