NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Deufel Claimant(s) vs. 89-01661 First Union Brokerage Services, James King and Linda Pyle Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John Deufel alleged that Respondent(s) First Union Brokerage Services, James King and Linda Pyle provided erroneous information and advice to Claimant and permitted an unlicensed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. * In the Matter of the Arbitration Between * James W. Near * Claimant * CASE #89-01931 * AWARD vs. * PaineWebber, Inc. and John R . Stewart * Respondents * CASE SUMMARY Claimant, James Near alleged that Respondent, John "*R." Stewart, by acting as Claimant's account executive, traded Claimant's account without authorization, recommended and invested in unsuitable invest

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between 1 Lester A. & Isabel M. Lawrence Claimant (-«) vs. 89-01929 Baker, Watts & Co., and Dave Hannett Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claiinant(s) Lester A. & Isabel M. Lawrence alleged that Respondent(s) Baker, Watts & Co., and Dave Hannett handled Claimants* account in a negligent and irresponsible manner. Respondent(s)

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ernest D. and Helen E. Lamb Claimant(s) vs. 89-01920 David Maidment and Madeleine Maxfield Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Ernest D. and Helen E. Lamb alleged that Respondent(s) David Maidment and Madeleine Maxfield committedi unauthorized trading in Claimants' account held with Respondent. Respondent{s} deny

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Aroitration Between ) Kevin & Sally Lowery Claimants ) vs. ) AWARD Fidelity Brokerage Services, Inc. Respondent ) CASE NO. 89-01918 Heard Before the Arbitration Panel: Owen Guinn Smith SUWARY OF ISSUES -* This case was filed on July 6, 1989. Claimants alleged that Respondent engaged in unauthorized trading in Claimant's account by covering a short position of five Septembe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David L. and Mary L. Thomas Claimants vs. Trace E. Paradise, Jimmy Carter, Texas Independent Securities, Inc. William T. Charlton and Palestra Training Corporation Respondents NOTICE OF ARBITRAT AKARD #89-01916 CASE SUMMARY Claimants David L. and Mary L. Thomas alleged that Respondents Trace E. Paradise, Jimmy Carter, Texas Independent S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ming-Dake Wang and Lina Wang as trustees for the Wang Family Trust, Claimant v. Charles Schwab & Co., Inc., Respondent Case Number: 99-02715 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Harry Delizonna Law Office of Harry Delizonna San Jose, California For Respondent: Steve Murphy Charles Schwab & Co., Inc. San Francisco, Californ

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Bluestone Capital Partners, L.P. Case No. 00-01037 Hearing Site: Boca Raton, Florida Name of Respondent Neil M. Kleinman REPRESENTATION OF PARTIES For Bluestone Capital Partners, L.P. ("Bluestone") hereinafter referred to as "Claimant"; Robert L. Herskovits, Law Offices of Michael F. Bachner, New York, New York and Bert L. Gusrae, Gusrae, Kaplan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gordon Root, Claimant v, Gaines Berland, Inc. and Anthony George Keshish, Respondents Case Number: 00-00114 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES For Claimant: Robert S. Banks, Jr., Esq. Banks & Underbill, P.C. Portland, Oregon For Respondents: Scott L. Silver, Esq. Gusrae, Kaplan & Bruno New York, New York CASE INFORMATION Statement of C

ytiJraday. February 22,2001 1:29 PM To: JuHa Hoffman From: C. W. Austin, Jr., B04-37ft-3l2l Page: 5 of B NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In.the Matter of the Arbitration Aiming : NASD Case No. : 00-00016 ILENE JEANETTE WILLIAMS, Claimant. -•igainst- GARY M. STEWART CHRISTOPHER R. STEWART ROBERT IX MICHAUX, Respondents. STIPULATED AWARD Claimant, llenc Jennelle'WilliamsCX'laimanOwas represented by Charles \V. Aust