N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. 93-04789 Name of Respondent Michael Hamilton REPRESENTATION For Claimant: Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") was represented by Robert J. Madden, Esq. of Gibbs & Bruns, L.L.P., located in Houston, Texas. For Respondent: Michael Hamilton ("Hamilton") did not

N.A.S.D. AWARD % fc*~ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PaineWebber, Inc. 93-04788 Name pf Restxmdentfsl David H. Joy For Claimant, PaineWebber, Inc. ("PW n ): Melanie S. Cherdack, Esq. of PaineWebber, Inc., Ft. Lauderdale, FI. Respondent, David Joy ("Joy") was pro gg. CASE INFORMATION Statement of Claim filed: November 17, 1993. Claimant's Submission Agreement signed on

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard G. Anderson and Ann T. Anderson, as Individuals and as Trustees under the Richard and Ann Anderson Charitable Trust 93-04787 Name of Respondents Thomas James Associates, Inc. and Shirley A. McKinney Representation of Parties Claimants, Richard Anderson and Ann Anderson, as Individuals and as Trustees under the Rich

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Todd K. Sommer 93-04785 Name of Respondents David A. Noyes & Company REPRESENTATION For Claimant, Todd K. Sommer ("Claimant"), John Keyse-Walker, Esq. of Fauver, Tattersail & Gallagher located in Elyria, Ohio. For Respondent, David A. Noyes & Co. ("Respondent"), Robert L. Cram, Esq. in-house counsel, located in Indianapoli

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02833 Pri'ne Charter, LTD., claimant vs. Ken Aiello, respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, New York, NY. Respondent appeared pro se., Coconut Creek, FL. DATE FILED: May 30, 2001 CASE SUMMARY: Claimant alleged respondent failed to repay loan pursuant to the terms set forth in a Promissory Note. Claim Data Award Data Claim: $14,222.24 Award: $4,000.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between of (laimanr David M. Reynolds Cedd Moses NASD Arbitration No. 93-04750 For Claimants: For Respondent: REPRESENTATION InProSe Steven A. Lamb, Esq. - Paul, Hastings, Janofsky & Walker < Los Angeles, California CASE INFORMATION Statement of Claim filed: November 16,1993 Claimant's Submission Agreement signed: November 12,

N.A.S.D. AWARD * NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas J. Murray Award No. vs. 94-04747 Name of Respondents Joseph Charles & Associates, Inc. Paul Richman REPRESENTATION For Claimant, Thomas J. Murray ("Claimant") Steven Kramer, Esq., from the law firm of Steven Kramer & Associates, located in New York City. For Respondents, Joseph Charles & Associates, Inc. an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s') David Raymon 93-04742 Name of Respondents) Shearson Lehman Brothers, Inc. Scott Elsas REPRESENTATION For Claimant David Raymon: John A. Owens, Esq., of the law firm of Phelps Owens Jenkins Gibson and Fowler, Tuscaloosa, AL. For Respondents Shearson Lehman Brothers, Inc. and Scott Elsas: John P. Bevilacqua, Esq., in-

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Skapinskas Yonas 93-04740 Names of Respondents Shearson Lehman Button, Inc. Gerald Olin Lawrence Brachfield REPRESENTATION For Claimant, Skapinskas Yonas ("Yonas"): Martin A. Feigenbaum, Esq. of Miami, Florida. For Respondents, Shearson Lehman Button, Inc. ("Shearson"), Gerald Olin ("Olin") and Lawrence Brachfield ("Brachfie

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Martin R. Stern 93-04731 Name of Respondent Kemper Securities, Inc., successor in merger to Prescott, Ball & Turben, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 15,1993, Claimant Martin R. Stern, who appeared Pro Se, alleged that Respondent Prescott, Ball & Turben