Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth Qian Xu, Claimant v. Wen Zhou, Metropolitan Life Insurance Company, Metlife Securities, Inc. and Quick and Reilly, Inc., Respondents Case Number: 01-00990 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: Arian Colachis, Esq. Golbeck Roth & Colachis, PLLC Seattle, Washington

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paul W. Laub, Claimant vs. Securities Services Network, Inc., Respondent. Case Number: 00-00678 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Paul W. Laub, (hereinafter "Claimant"): In Pro Per, 320 Ansonville Lane, Modesto, CA 95357. Respondent, Securities Services Network, Inc., (hereinafter referred to as "Respondent"): Ronald T. Klimas, Vice Presid

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Toshiaki Saito and Shareen K. Saito, Claimants vs. LLC & Co.. Inc.. Bear Steams £ Co.. Inc. and Yan Skwara, Respondents. Case Number: 95-03025 Hearing Site: Honolulu. HI REPRESENTATION OF PARTIES Claimants, Toshiaki Saito and Shareen K. Saito (hereinafter collectively referred to as "Claimants"): James T. Countiss. Esq., Green & Counliss. 700 Richards Street. Harbor Square. Suite

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James R. Wallis Name of Respondents Peter A, Schur A.T. Brod & Co., Inc. 95-03022 CASE SUMMARY Association of Securities Dealers, Inc. on June 20, 'ISanieril. WM1& ("& ?r° ^®» ^tegcd that Respondent A.T. Brc-cj^ &^*>3ncty^f ^(k&TlT^^oi^ convinced him to purchase1000"'flfe^^cp^ 't^pcare stocfc./ tiamiant furiiier alleged

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between N< uue ut g Claimant Linda Hughes Petty Name of Respondent George E. Brooks Robert B. Thompson 95-03021 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 19, • 1995'Claimant Linda Hughes Petty ("Claimant"), who appeared Pro SB"; alleged that she held an IRA :iadcxriihi£tf9C2 > 90246 Z

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Mike Farrage Cynthia Farrage vs. Name of Respondent Josephthal Lyon & Ross, Inc Anthony Duque NASDR Arbitration No.95-03000 REPRESENTATION For Claimant: Robert C. Chandler, Esq., Chandler & Associates, Riverside, California For Respondent Josephthal Lyon & Ross: Robert E. Murphy, Esq., Josephthal

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Susan DeLand 95-02946 Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. JohnM. Cornell, III James Rintoul REPRESENTATION For Claimant Susan DeLand ("Claimant") appeared Barry J. Wendt, Esq., a private practitioner located in Audubon, New Jersey. For Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch"), John M. Conncll, II

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Atlantic Securities & Capital Mgmt Case No, vs. 95-02912 Name of Respondent Kidder, Peabody & Co., Incorporated REPRESENTATION For Claimant, Atlantic Securities & Capital Management, Inc. ("Claimant") Steven N. Fuller, Esq. from the law firm of Peabody & Brown located in Boston, Massachusetts. For Respondent, Kidder Peabody & Co. ("Respondent"), Peter R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Biltmore Securities, Inc. 95-02903 Name of Respondent Barry S. Brigand REPRESENTATION For Claimant Biltmore Securities, Inc. ("Biltmore"): Edward P. Degenhardt, Esq., of Bernstein & Wasserman, Fort Lauderdaie, FL. For Respondent Barry S. Brigand ("Brigand"): Pro se. CASE INFORMATION Statement of Claim filed on: June 2,

N.A.S D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard and Elizabeth Lange 95-02881 Name of Respondents Elliot Fisher (a/k/a Ilya Fisher) Cartwright & Walker Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 14, 1995, Claimants Richard and Elizabeth Lange- ("Claimants"), through their representative, Michael W.