N.A.S.D. AWAIiD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Evelyn Berezin 94-00111 Name of Respondents Unterberg Harris, L.P. and Brian Finnerty REPRESENTATION For Claimant: Peggy Kerr, Esq., a sole practitioner, New York, NY For-Respondents: Geqffejry Potter, Esq. of the law firm of Kramer, Levin, Naftalis, Nessen, Kamin & Frankel, New York, NY CASE INFORMATION Statement of Claim

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ju Won Lee, Claimant v. Hanmi Securities, Inc., Soon-Gwon Bang, Richard H. Oh, and Byung I. Mitij Respondents Case Number: 01-02916 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Marc I. Zussman, Esq. Law Offices of Marc I. Zussman Los Angeles, California For Respon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00924 B. Wheatley Williams Trust, claimant vs. Dean Witter Reynolds, Inc., respondent. ATTORNEYS: For Claimant appeared Christopher D. Lonn, Esq. of the firm Titus, Brueckner & Berry Scottsdale, AZ. For Respondent appeared in-house counsel, Vincent J. LaGreca, New York, NY. DATE FILED: March 2. 2000 CASE SUMMARY: Claimant alleged that respondent provided unsuitable investment advic

'* i?i ' .* •X 1 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS III the Matter of the Arbitration Between Lany and Virginia Mueller 94-00109 TSfame of Respondents Stratton Oakmont, Inc. Tim HQlls REPRESENTATION Claimant Larry Mueller ("Mueller") appeared at the hearing pro se. Claimant Virginia Mueller did not appear at the hearing. (See "Other Issues"). Respondents Stratton Oakmont, Inc. ("Stratton Oakmont") a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Martha Kelly 94-00108 nf T?ftondeTiif Merrill Lynch, Pierce, Fenner & Smith, Inc. For Claimant: Martha Kelly ("Kelly") was represented by William A. Whittle, Esq. of Whittle & Associates, P.C:, located in Corpus Christi, Texas. For Respondent: Merrill Lynch, Pierce, Fenner &. Smhh, Inc. ("Merrill Lynch") was represented by Amanda Nathan, Esq. of Gi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Mattef t)f the Arbitration Between Name of Claimant GKN Securities Corp. 94-00418 Name of Respondent Kevin Gumb CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1994, Claimant GKN Securities Corp., through its representative, Katherine Nathan, Esq., alleged that Respondent Kevin Gumb commenced employment as a registered repr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Helene Montrose 94-00412 Name of Resoondentf s) Dean Witter Reynolds Inc. Arthur Oilman Claudia White CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1994, Claimant Helene Montrose, who appeared Pro Se, alleged that Respondents Dean Witter Reynolds, Inc. ("DWR"),

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Leckie Mattox, JU Ruth Mattox Automatic Gas Co. of Eufaula, Inc. 94-00411 Name of Resoondentfs^ Morgan Keegan & Company Inc Walter Y. Hooper REPRESENTATION For Claimants Leckie Mattox, ffl, Ruth Mattox and Automatic Gas Co. of Eufaula, Inc.: Ray O. Noojin, Jr., Esq. of the law firm of Hare, Wynn, Newell and Newton

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between * Name o f.lai Mao Ta Chen (aka Mo-Ta Chen) NASD Arbitration Yeng Feng Sbieh Chen #94-00404 vs. Name of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. Albert Shihnai Yuan REPRESENTATION For Claimants: Ms. Greta Chen - San Jose, California For Respondents: Michael Licosati, Esq., - Keesal, Young & Logan - Long Beach, Califo

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Alice Shotwell Gustafson, as Trustee for the Alice Gustafson Revocable Living Trust, Claimant and Counter-Respondent, v. No. 94-00401 Shearson Lehman Brothers, n/k/a Smith Barney, Inc., and James F. Peters, Jr., Respondents and Counter-Claimants. REPRESENTATION OF PARTIES Claimant and Counter-Respondent Alice Shotwell Gustafson, as Trust