NASD Arbitration No.9340818 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DFAT.FRS. INC. In the matter of the Arbitration Between Name rvf Claimant Marilyn M. Schmidt Name flf Respondents New England Securities Ray C. Woolevcr REPRESENTATION For Claimant: David C. Hollinger, Suniand, California For Respondents: Mitchell A. Karman, Esq., New England Securities, Boston, Massachusetts CASE INFORMATION Statement of Claim filed: M

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: GKN Securities Corp., (Claimant) vs. Robert Peck, (Respondent) Case Number: 01-00946 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant GKN Securities Corp., hereinafter referred to as "Claimant": David Schmidt, Esq., Lubiner & Schmidt, Cranford, NJ. Previously represented by: Michael Colombo, Vice President and Manager, GKN Securities Corp., New York, NY.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rick K. Oswalt 93-00816 Name of Respondent Josephthai, Lyon & Ross, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 4, 1993, Claimant Rick K. Oswalt, who appeared Pro Se, alleged that Respondent Josephthai, Lyon & Ross, Inc. churned his account and purchased unsui

N.A.S.D. AWARD NCTIQNAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Stuart Kaufman NASD Arbitration No. 93-00805 Name of Respondent J. K. Elliott REPRESENTATION For Claimant: In Pro Se For Respondent: In Pro Se CASE INFORMATION Statement of Claim filed: March 4, 1993 Claimant's Submission Agreement signed: January 27,1993 Statement of Answer filed by Respondent: May 6, 199

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant First National Brokerage Services, inc. and Sjj00804 Name of Respondent Pete M. Giamalakis REPRESENTATION OF PARTIES First National Brokerage Services, Inc. ("Claimant") was represented by Patrick B. Griffin, Esq. of Kutak Rock, Omaha, Nebraska. Pete M. Giamalakis ("Respondent") did not appear at the hearing. CASE INF

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SF.CTTpTTTF.S DF.AT.F.KS. INC. In the matter of the Arbitration Between Name of Claimant Edward Maxwell NASD Arbitration No. 93-00796 Name of Respondents Shearson Lehman Hutton, Inc. John Childers Michael Rader REPRESENTATION For Claimant: Douglas Federspiel, Esq. - Velikanje, Moore & Shore, Inc. - Yakima, Washington For Respondents: Hany T. Walters, Esq. - Smith Barney Shearson, Inc. -

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lawrence A. & Elizabeth N. Holstrom 93-00790 Name of Respondent Daniel L. Holman For Claimants: Lawrence A. Holstrom and Elizabeth N. Holstrom ("HolstromsL'^weres Lawren represented by Laurence S. Schultz, Esq. of Driggers, Schultz, Herbst & Paterson; located in ' ft : Troy, Michigan. ; For Respondent: Daniel L. Holman was rep

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Dionne Riley vs. Name of Respondents Case # 93-00789 REPRESENTATION Claimant appeared pro se. For Respondents: Jeffrey S. Rosen, Esq. of DeMartino Finklesten of Rosen & Virga, Washington, DC. CASE INFORMATION Statement of Claim filed: March 30, 1993. Claimant's Submission Agreement signed on: February 20, 1993. Join

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Wien Securities, Inc. Name of Respondent Donna Lambert! 93-00787 For Claimant: Herbert M. Jacobi, Esq., a sole practitioner. "'" ' ' ' . , " • " . . • ~ '• '' - ' t' "•"•*»' :,•''„" " • - - , • • For Respondent: Thomas J. McCabe, Esq., a sole practitioner.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants C.M. and Oleta Bonarden 93-00784 Name of Respondent Mark A. Fischer CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 3, 1993, claimants C.M. and Oleta Bonarden, who appeared Pro Se, alleged that Respondent Mark A. Fischer, while employed at Del Mar Securities, Inc., bo