N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Susan Sedlak 93-03484 Name of Respondents Merrill Lynch, Pierce, Fenner. & Smith, Inc.; Peter L. Colletti ! •. ••• REPRESENTATION For Claimant: Susan Sedlak ("Sedlak") -was represented by Bruce R. Nichols, Esq. and Robert L. Hindelang, Esq. of Nichols & Long, P.C., located in Grosse Pointe, Michigan. For Respondents: Merril

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Charles L. and Miriam A. Williams 93-03469 Name of Respondents James John Monteleone Aleksandr Shvarts Reynolds Kendrick Stratton, Inc. REPRESENTATION For Claimants Charles L and Miriam A. Williams ("Claimants"): Robert J. Donaghy, Attorney at Law For Respondent: James John Monteleone ("Monteleone"): Edward R. Curtin,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George W. GUI 93-03468 Name of Respondent PaineWebber, Inc. REPRESENTATION For ClaL-nant, George Gill ("GUI"): William Robert Leonard, Esq. of the law office of William Robert Leonard, Ft. Lauderdale, Florida. For Respondent, PaineWebber, Inc. ("PW"): Evan J. Charkes of PaineWebber, Inc., Weehawken, New Jersey. CASE INF

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC In the matter of the Arbitration Between Name of Claimant PaineWebber, Inc. NASD Arbitration vs. #93-03466 Name of Respondent Kenneth M. Haines REPRESENTATION For Claimant: Catherine J. Pratt, Esq., PaineWebber, Inc., Los Angeles California For Respondent: Milton D. Rosenberg, Esq., Rosenberg and Rosenberg, Los Gatos, California CASE INFORMATION Statement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) George M.B. Reading Dorothy T. Reading NASD Arbitration NO. 93-03465 Name of Respondent(s) Dean Witter Reynolds Inc. J. Donald Toms Lloyd Kelly REPRHSHNTATIQN For Claimants: Philip W. Coats, Esq., Law Office of Patrick R. Frega, San Diego, California For Respondents: James P. Delphey, Esq., Seltzer Capl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Delmo Ferrari, et al. vs. Name of Respondents Prudential Securities Inc Ian Lee Finberg Ray Juskewiecz Case No. 93-03463 REPRESENTATION For Claimants, Delmo and Alba Ferrari of Del's Hair Styling and Cutting Salon, Joel P. Suttenburg, Esq. and David Grossack, Esq. located in Boston, Massachusetts. For Respondents, Prudential Securit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kimberiy Knight 93-03462 Name of Respondent Prudential-Bache Securities Inc. REPRESENTATION For Claimant, Kimberiy Knight ("Knight"): Stanley Padgett, Esq. of Tampa, Florida. For Respondent, Prudential-Bache Securities Inc. ("Prudential"): Delmer C. Gowing, TO., Esq. of Hertz, Schram & Saretsky, P.C., West Palm Beach, Florida.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02678 Randall Reemes, Claimant vs. Charles Schwab & Co., Inc., Respondent. ATTORNEYS: Claimant appeared pro se., Monticello, AR. Respondent appeared through its in-house counsel, Richard A. Karoly, Esq., San Francisco, CA. DATE FILED: May 22, 2001 CASE SUMMARY: Claimant alleged Respondent made unsuitable and unauthorized trades in his account, which resulted in his loss. Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James M. Morris 93-03461 Name of Respgndent/Third Party Claimant F.N. Wolf & Co., Inc. Name of Third Party Respondent John McGuirc CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 10, 1993, Claimant James M. Morris, who appeared Pro Se, alleged that he purchased 1000

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Gerald M. Isbell and 93-03459 Name of Respondents Shearson Lehman Brothers, Inc. David B. Smith Ron Card REPRESENTATION OF PARTIES Gerald M. Isbell ("Claimant") was represented by John P. Cione, Esq., Solona Beach, California. Shearson Lehman Brothers, Inc., David B. Smith and Ron Gard ("Respondents") were represe