Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jorjann Reve Carlson, Claimant v. Centaurus Financial, Inc., James R. King, Robert E. Keilly, Valentino M. Scott, and V.S. Associates, Respondents Case Number: 01-04843 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Jorjann Reve Carlson: Stewart S. Mims, Esq. Stephen L. Kaplan, Esq. Hicks, Mims & Kaplan Los Angeles, California For Respondent

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Howard Well Labouisse Friedrichs, Inc. v. Mitchell L. Berg Attorneys: For Clainant(s): David Israel Esq. - New Orleans, LA For Respondent(s): J. Eugene Clements Esq. - Houston, TX /^drew Harvin Esq. - Houston, TX Date Filed: 05/08/91 First Scheduled: 10/27/92 Decided: 11/17/92 Case Summary: Member Firm alleging Respondem Registered Representative breach

C c ( ^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Bache Securities Inc v James Bennett Osterman Attorneys: For Clalinam(s): Gabriel Loubler Esq - New York, NY For Respondent(s): James Bennett Osterman - Agoura, CA Date Filed: 05/28/91 First Scheduled: 07/14/92 Decided: Case Summary: Claimant, a Member Rrm, alleges Respondent, a registered representative, failed to pay balances owing on pro

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alphonse Fletcher, Jr. v Kkider Peabody & Company, Inc. Attorneys: For Claimant(s): Robert J. Hausen Esq. - New York, NY For Respondent(B): Thomas A. Dubbs Esq. - New York, NY Ronakl M. Green Esq. - New Yori(, NY Date Filed: os/i6/9i First Scheduled: 12/09/91 Decided: 11/23/92 Case Summary: Clalmam alleges that Respondem breached Claimam's emptoymem agreement

New York Stock Exchange ^/i the Matter of Arbitration Between y NYSE Case: Thomas F. Schuster vs. Werthelm Schroder & Co., Inc. and Ted Elsler Attorneys: For Clainvant(s): Roger Deitz Esq. - New York, NY Fbr Respondent(s): Steven A. Beede Esq. - New Yorit, NY Date Fiied: 05/10/91 First Scheduled: 10/09/91 Decided: 04/02/92 Case Summary: Customer vs. Member Rrm and Registered Rep alleging negligence and failure to sell claimam's New O

y New York Stock Exchange In the Matter of Arbitration Between NYSE- Case: Philip Kennedy, Custodian, Vantage Art Employees Profit Sharing Trust v Shearson Lehman Brothers, and John Donakison Attorneys: For Claimant(s): Philip Kennedy - Massapequa, NY Fbr Respondent(s): G. Wayne Hillis, Jr. Esq. - /Ulanta, GA Date Filed: 05/20/91 First Scheduled: 05/15/92 Decided: 06/02/92 Case Summary: customer v Member Rrm and Registered Representa

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ladenburg, Thalmann & Co. Inc. v. Susan Guarino and Kevin Guarino Attorneys: For Claimant(s): Norman S. Lawi Esq. - New York, NY Fbr Respondent(s): Susan Guarino - Staten Island, NY Rnhard E. Hershenson Esq. - New York, NY Date Filed: 04/22/91 First Scheduled: 07/20/92 Case Summary: Claimam, a member firm, has alleged that respondents, one a pay for a debit balan

New York Stock Exchange M the Matter of Arbitration Between NYSE Case: JAMES L WARDEN VS. PAINEWEBBER INCORPORATED Attomeys: For CtaimiBntfs): Bruco R. Hardesty Esq. - Austin, TX For RetpondBm(i): Joseph A. Vallo Esq. - Weehawken, NJ Date Filed: os/is/oi Case Summary: Customer v resulted in k»s to the Claimant. First Scheduled: DeckJed: 05/21/92 litonber Firm CWnumt alleges broker had discretion to Uade options on his behalf and

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman Hutton Inc. v. Robert C. Musick •if Attorneys: ForClainianl(4: Elizabeth A. Bryant Esq. - Denver, CO For RoapondentW: Robert C. Musick - Aurora, CO Date Piled: 01/11/91 Rrst Sctieduied: oiixtm Decided: January 9» 1992 Case Summary: Member Firm V. Registered Representative - breach of employment agreement - nonpayment of promissory nota Product

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman Brothara Incorporated v Mika Tuck Attorneys: For Ciaimant(8): Bradley M. Whalen Eaq. - Houston, TX For RetpondenlM: Mike Tuck - Kerrvlle, TX Mike Tuck-KBmnlle,TX Date Filed: 05/24/9i First Sciieduled: oe/24/82 Decided: 00/24/92 Case Summary: Clalmam aVeges respondent failed to fulfil debit balance oUigalions jneurrad during the course of treding c