NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-02546 Andres Ordonez, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: For Claimant appeared David Harrison, Esq., of the firm Spivak < fe Harrison, Los Angeles, CA. For Respondent appeared Christopher B. Boyce, compliance analyst, Rancho Cordova, CA. DATE FILED: May 15, 2001 CASE SUMMARY: Claimant alleged that respondent made an unauthorized sell order of Art Technology

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond J. DiRussa 92-04232 Name of Respondents Dean Witter Reynolds Inc. James F. Higgins Robert J. Dwyer Lawrence J. Solan, Jr. REPRESENTATION For Claimant: Mark F. Kluger, Esq. of Barry & McMoran, Newark, New Jersey. For Respondents: Carol S. Bernheim, Esq. of Epstein Becker & Green, New York, New York. CASE INFO

N.A.S.D. AWARD MATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Renee Baron Name of Respondent(s) Financial Network Investment Corporation A. Mildred Harve NASD Arbitration No. 92-04231 For Claimant: Reed H. Bement, Esq., Law Offices of Reed H. Bement, Inc., San Francisco, California For Respondents: Louis H. Castoria, Esq., Wilson, Elser, Moskowitz, Edelman & Dicker, San Francis

JTL-06-1995 158 59 FROM TO 1212B584429 P. 02/16 >, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. TO the Matter of the Arbitration. Between Gregory R. Martina, as Plan •^ffitnfotrttor for Plan aryf TViitr and gfl for Aomari Mntino and Maze Marino and 92-04230 >famt> of Bemondem* John R. Roessig individuaUy and d/b/a Masters Financial Group; Inc. REPRESENTATION' OF PARTIES Gregory R. Maitinu, as Ran A^ml'O* 11 """ 1

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Shurong Mao 92-04228 Name of Respondents Josephthal Lyon & Ross, Inc. Stephen (A.K.A. Ji Ping) Yu CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 18, 1992, Claimant Shurong Mao who appeared Pro Se, alleged that on December 18, 1993 Respondent Stephen Yu, Account

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameoLClainjant Jim E. Welch 92-04227 NjuneofResDondents Venture Trading Inc. Roberta R. Degand CASE SUMMARY In a claim filed with the National Association of Securities Dealers,.foe, on December 18,1992, Claimant Jim B. Welch who appeared Pro Se, alleged that Respondent Roberta Degand, while employed by the Respondent firm Ventu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Paine Webber. Inc. 92-04223 Name of Respondents Gregory A. Otterman REPRESENTATION For Claimant, PaineWebber, Inc. ("P.W."): Steven M Greenbaum, Esq. of P.W. For Respondent, Gregory A. Otterman ("Otterman 1 '): pro se. CASE INFORMATION Statement of Claim filed: 12/17/92. Claimant's Submission Agreement sign

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimant Clark Darnell Robideaux 92-04222 NameofResDondenjs Hibbard Brown & Co., Inc. Richard S. Marous CASE SUMMARY In a claim filed with the National Association of Securities Deters, Inc. on December 17, 1992, Claimant Clark Darrell Robideux who appeared Pro Se, alleged that in late 1991 he was called repeatedly by Respo

N.A.S.D. AWARD Kg-TIQNAT. ASSOCIATION OF SECURTTTFS DEALERS. TNC. In the matter of the Arbitration Between Name of Claimants Earl L. Carriilo Blanche I. Carriilo NASD Arbitration No. 92X54217 Name of Respondents Bateman Eichler, Hill Richards, Inc. Kemper Securities, Inc. T«ll>Ot RFPRFS^NTATTON For Claimant: Richard Sacks, Investors Recovery Service, Novato, Ca. For Respondents: A. Brad Busscher, Esq. - Kemper Securities, Inc. -

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mameof-CJaimants Genevieve Beni & Dennis Wayne Bern 92-04189 Invest Fmantial Corporation CASK SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 15,1992, nahnants Oenevieve & Denms Berri. who appeared Pro So, alleged flat on December 10,1991 Claimant Genevieve Beni went to Respondent California Federal Ba