PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Thelma Baron 92-01715 Name of Respondent^ Shearson Lehman Brothers, Inc. Joseph Finnegan CASE SUMMARY In a claim riled with the National Association of Securities Dealers, Inc. on May 21, 1992, Claimant Thelma Baron by and through her counsel J. Robert MacAneney, Esq., Sole Practitioner, New York, N.Y., alleged

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of Claimant Denise C. Burns 92-OL711 Name of Respondents Prudential Securities. Inc. John Estrada Jim Parker CASE SUMMARY In a claim tiled with the National Association of Securities Dealers. Inc. on May 21. 1992. Claimant Denise C. Burns, through her counsel, Mitchell S. Oswald of Seaman. Seaman & Oswald, Sacramento. CA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Leslie W. Green 92-01708 Name of Respondent!si Hibbard Brown £. Co. Arthur Cliick CASE SUMMARY In a claim filed with the National Association of Securities dealers. Inc. on May 21. 1992. Claimant Leslie W. Green who appeared Pro Se. alleged that in July L9Q1. Respondent Arthur Chick, a registered representative at Respond

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Martin & Miriam Wagman Name of Respondents Uni Eq Investment Group, Inc. Thomas Grebis 92-01700 REPRESENTATION For Claimants Martin and Miriam Wagman ("Claimants"): James Faulkner Detwiler, Attorney at Law For Respondents Uni Eq Investment Group, Inc. and Thomas Grebis ("Respondents"): James A. Hartz, Attorney at Law

Stipulated Award And Order of Expungement NASD Dispute Resolution In the Matter of the Arbitration Between: Jesse R. Bueno, et al. v. Charles Schwab & Co., Inc. and William Martin Case Number: 01-00881 REPRESENTATION OF PARTIES For Claimants: Howard Wollitz, Esq. CHARLESTON, REVICH & WILLIAMS LLP 1840 Century Park East, Third Floor Los Angeles, CA 90067-2104 For Respondents: Lowell Haky, Esq. Charles Schwab & Co., Inc. Office of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Berenice Piepgrass 92-01691 Name of Respondents Shearson Lehman Brothers, Inc.; Patrick Cass REPRESENTATION For Claimant: Berenice Piepgrass was represented by David K. Foster, Esq. of Johnson & Christopher, Inc., located in San Antonio, Texas. For Respondent: Shearson Lehman Brothers, Inc. and Patrick Cass was represented

N.A.SJX AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Marjorie Virginia Crump and 92-01689 Name of Respondents Sheaison Lehman Brothers, Inc. Samuel D. Simpson REPRESENTATION OF PARTIES Marjorie Virginia Crump ("Claimant") was represented by Artie G. Giotes, Esq. of Pakis, Giotes, Beard &. Page, Waco, Texas. Shearson Lehman Brothers, Inc. and Samuel D. Simpson ("Responden

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas W. Brice, indiv. and as executor Smith Barney Harris Upham & Co., Inc. John B. Davidson 92-01680 REPRESENTATION For Claimant, Thomas W. Brice ("Brice"): Robert D. McDonnell, Esq. For Respondent, Smith Barney, Harris Upham & Co., Inc. ("Smith Barney"): Larry A. Inom, Esq. of Smith Barney. Respondent, John B. Davidson

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ronald L. and Laura A. Thompson vs. 92-01679 Name of Respondent Kennedy, Cabot & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 19, 1992, Claimants Ronald L. and Laura A. Thompson, who appeared Pro Se, alleged that Respondent Kennedy, Cabot & Company failed to

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Thomas Kelierman Claimant vs. Best Investors Group, Inc. Glen Ostrowski, HI Respondents CASE #92-01678 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 19, 1992, Claimant Thomas Kellerman, by and through his counsel, Peter P. Charnetsky, Esq. of Butler, Allen, Claiic & Place, Vestal,