NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kelly Priest & Valentine DeLeon Claimant vs. David Cameron, Robert Ryder & Ronald Rosato OATH AND AWARD OF ARBITRATOR 90-01290 Respondents Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or re

N.A.S.D. bTLUJLftlHD AWARD NATIONAL ASSOCIATION OF SEOJRiTlKS BEMJ3RS In the Matter of the Arbitration Between T Name of Claimant (s) > Marie C. LudwicJc, as Trustee of the ) Marie C. Ludmidc Revocable Living ) Trust, Dated July 27, 1983 ) Case No. 90-0128^ Name of Respondent (s) ) \ r ==*=^= ) \'. Staith Barney Harris Upham & Co, Inc. ) U Leslie Peterson ) ., James A. Strainer ) Drexel Burnham Lambert, Inc. ) For Claimant, Marie C.

N.A.S.D. AWARD Arbitration National Association oi Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdate, Florida 33301 (305) 522-7391 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Charles Schwab & Co . , Inc . Name of Respondent ( s ) Susan P. Hudson Bruce R. Lutz Heard before the arbitrator: Paul Sidney Elliott Case No. 90-01283 Public Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAIJERS In the Matter of the Arbitration Between ) ) Name of Claimant(s) ) ) Charlotte Lyons as Personal ) Representative of the Estate of ) Robert S. Lyons ) Case No. 90-01281 Greentree Securities Corp. G.K. Scott & Co. Inc. Robert Peter Sauer, Jr. David Schaum Bernice Lerner For Claimant, Charlotte Lyons as Personal Representative ("PR") of the Estate of Robert S. Lyons

Arbitration N.A S D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS National Association of Securities Dealers, Inc. O ne East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 In the totter of the Arbitration Between Name of Seventh Investjnent Bancing Corp. Name of Respondents! Jonathan Alan & Co. Inc. ) ) Case No. 90-01280 ) Heard before the member of the Arbitration Panel: Cas

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jfcitter of the Arbitration Betv^en Name of 90-01279 Robert T. Coyne Name of Respondent (s) Shearson Lehman Hutton, Inc. Donald McCarthy Heard Before: Simon Tager Cornelius J. MzAuliffe, Esq. Roberta Duvarney Public Arbitrator Public Arbitrator Industry Arbitrator For Claimant: Michael Collora, Esq. of Ctoyer, Collora & Gertner in Boston, Massachusetts

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James S. Turner, (Claimant) vs. Citigroup, Inc. and Citicorp Securities, Inc., (Respondents) Case Number: 01-00657 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant James S. Turner, hereinafter referred to as "Claimant": Jeffrey Liddle, Esq., Liddle & Robinson, L.L.R, New York, NY. Respondents, Citigroup, Inc. ("Citigroup") Citicorp Securities, Inc. ("Citicorp"): J

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas Conroy Claimant vs. Quick & Reilly, Inc. Respondents OATH AND AWARD OF ARBITRATOR 90-01272 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or related by blood or marriage to any of the part

N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Maine* nf diaries P. KinCaimcn 90-01271 Mams* o Guardian Internaticnal Securities Corp. Ren Cutler Claimant ailfyjfyj that Respondents induced him to purchase txjuuuu stock securities that were misrepresented to him as to their trading and listing on an exchange. Claimant alleged that if he had not relied upon the representations of the Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantss) Barbara Jean JfcCaslin 90-01258 Name of Respondent(s\ Edward D. Jones & Co. Jim Ballinger In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on May 4, 1990, Claimant Barbara Jean MzCaslin alleged that Respondents Edward D . Jones & Company and Jim Ballinger misrepresented and