Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: of thp Plaimant jpagp Wnmbpy 00-04526 Scott Carpenter nf tVjp "Rp-sprmftents: Hfiarir|g Sj-fp- Philadelphia, Pennsylvania Merrill Lynch Pierce Fenner & Smith, Inc. Thomas A. Seiler Charles J. Haraburda n Claimant, Scott Carpenter (''Carpenter") hereinafter referred to as "Claimant": represented by John E, MacDonald, Esq., Stark & Stark, Lawrenceville, NJ. Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stanley Jerry Hoffman, et al v. Charles Schwab & Co., Inc. and Lincoln M. Gima Case Number: 00-00461 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Stanley Jerry Hoffman Brave New World Defined Benefit PP & Trust For Respondents: Charles Schwab & Company, Inc. Lincoln M. Gima Richard D. Farkas, Esq. Law of Office of Richard

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard C. & Cheryl A. Baxley 90-02086 Name of Respondent James Mahoney In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about July 30, 1990, Claimants Richard and Cheryl ("Claimants") alleged that James Mahoney ("Respondent") a registered representative with Blinder Robins

Arbitration JT.A.S.D. AHMJD National Association of Securities Dealers, Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS NASD Financial Center 33 Whitehall Street In the Matter of the Arbitration Between New York, New York 10004 Name of Claimant Geraldine R. Doriss 90-02081 Name of Respondent Douglas Bremen & Co. For Claimant: Christopher Level l r Esq. For Respondent: Respondent was not represented at the hearing; however, on

/VASO N.A.g.P. Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jtetter of the Arbitration Between Name Of Claimant Ellinor Pederson vs National Association of SacuritlM Dealer*, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 90-02080 PaineWRhter, Inc. William Ttodd Heard before the members of the Arbitration Panel: Name William M. Prifti, Esq. Simon J. Tager Elwynn J.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC CASE #90-02079 AWARD In the Matter of the Arbitration Between James S. Jablonski and Eleanor Jablonski Claimants vs. David Dever Financial Clearing and Service Corporation Respondents CASE SUMMARY James S. and Eleanor Jablonski, in a claim filed with the National Association of Securities Dealers, Inc. on July 27, 1990, alleged that Respondent and broker, David Dever, failed to properly

Arbitration N.A.b.U. -3» NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of rUflJJIBnt-fi Vitaly & Galina Shevoroshkin, JTTEN 90-02077 Name of Respondent. David Letourneau National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimants Vitaly and Galina Shevoroshkin ("Claimants"): Anthony V. Trogan

Arbitration N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betaken) ) frjarns of Cj-3_Lmajit (s) ) ) Jesus Meneses ) ) ) ) Name of Pggpnnrfaant (s \ } \ i Shearson Lehnan Brothers, Inc. ) Gaston Rozenwald ) Michael Ghaanis Nations Awocfation of S«curt««« OMtert, Inc. One East Brovard Boulevard Suite tQOO R. Lauderdale, Florida 33301 (305) 522-7391 Cas

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the totter of the Arbitration Betvreeri ) Name of flaimantfsl ) Bindura Corporation, N.V. & A. Carstens ) ) ) Name of Respondent (s \ ) ) Shearson Lehman Brothers, Inc. ) Gaston Rozenwald ) Michael Ghaemis ) Case No. 90-02073 Heard before the members of the Arbitration Panel: Richard A. Freeman, Esq. Charles H. Brodzki, Esq. Robert S. Natiss Public Publi

Arbitration ® "-A-S.D. JWftRD National Anociatfon of Securttto* Orator*. Inc. NATIONAL ASSOdAITCN OF SECURITIES DEALERS One East Broward Boulevard Suite 1000 Ft. Lauderdale, Rorida 33301 In the Matter of the Arbitration Between T (305) 522 ' 7391 Name of na-im«t(a) ) Robert Blitz ) Esther Blitz ) ) Case Mo. 90-02071 Name of PMnxrrtppt (s) ) Kenneth W. Brown } J. W. Charles, Inc. ) For Claimant, Robert and Esther Blitz