NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00646 Ellen J. Lee, Claimant vs. ChaseMellon Financial Services, L.L.C, Respondent. ATTORNEYS: Claimant, Ellen J. Lee, ("Claimant"), appeared Pro Se, Pecos, TX. Respondent, ChaseMellon Financial Services, L.L.C., ("Respondent"), appeared through it< ; Senior Compliance Officer Winston A. McLaughlin, Esq., Ridgefield Park, NJ. DATE FILED: February 14, 2000. CASE SUMMARY: Claimant all

N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NianieofClaimant Patricia A. Bennett Name of Respondents R.G. Dickinson & Co., Inc. and " *" KimMilbollan ^18)992 91-00797 OP Claimant was represented by Scott W. Johnson, Esq. of Johnson & Johnson, Colorado Springs, Colorado. Respondent were represented by James R; Miller, Esq. and Russell C. Burfc, Esq. of Hopper and Kanouff, P.C., Denver,

N.A.S.D. AWARD NATICllftL ASSOCIATION OF SECURITIES DERLERS In the Matter of the Arbitration Between Name of Joe F. Gallagher vs. 91-00795 Dean Witter Reynolds, IDC. Wallace J. Stlvdng For Claimant: Gregg A* Johnson, Esq. , San Diego, California For Respondent: Wend/ R* Robinson, Esq., Dean Witter Reynolds, Inc., San ftzancisco, Statement of Claim filed: Btorch 13, 1391. Claimant's Submission Agreement •igpyjt Much 11, 1991 Joint Sta

PUBLIC Arbitration N.A.S.D. AWARD NKTICNMi ASSOdAHCN OF SBCDRTTIES National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Hitter of the Arbitration Between. Den P. Broom, ttee/Brett L. Brown Trust Don P. Brown, ttae f /b/o Brett Lofton Brown Den F. Brown, ttee/Misty F. Brown Trust Name of ResncrvfrTita Fabnestock & Co., Inc. Carlo A. Uses

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claiinants C.A. ar>H Claris vs. NASD #91-00791 Name of Responriants -Part 10 Securities, Inc. James Partial A.G. Edwards & Sons, Inc. joaaagatgf.ma.Mm For Claimants: ArchiJbald M. Mall IH, Esq., Old Sacramento, California For Respondents P^^tent-Lal-By* 0 Securities, Inc. and James Darden: Michael J. Lawscin r

9 KJLS.D. MMD ASfiQCIAnCM Of HHJJILLTiaS CBA1SS In tbe Mtter of the Arbitration Sebum Itortba and Tcmci Bomiar 91-00790 Mwrill Lynch Piazce Farmer 6 SttLth Inc . Hardolino Arbitration National Association ol Socurttlai DMUn, toe. NASO Financial Ctnur 33 Whitehall Stro* New Ytofk.N.Y. 10004 FAX (212) 858-4389 and Trad Merrill Lyncb. Finca Donald H. Tbcdolino ("itedoliao") t CbarL ^I Drain, a 6 asLth, mo. ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sandra M. Misjak No. 91-00779 Name of Respondents Gruntal & Company, Inc: """" David Geschke REPRESENTATION OF PARTIES For Claimants: Lane Gensberg, Esq. and Carlo E. Poli r Esq. of Stone r McGuire & Benjamin. For Respondents: Hiram D. Gordon, Esq. of Janvey, Berglas & Gordon. CASE INFORMATION St

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Barbara Niechwadowicz Names of Respondents Prudential Securities, Inc. and Gene S. Simonsen Case No. 01-00749 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Barbara Niechwadowicz ("Niechwadowicz"), hereinafter referred to as "Claimant": Scott J. Link, Esq., Ackerman, Link & Sartory, P.A., West Palm Beach, Florida.

N.A.S.D. AWARD NOTIONAL ASSOCIKTICN OF SECURITIES CEALERS In the Matter of the Arbitration Between Mary Poshadlo 91-00777 First Investors Corporation Morris I. Lester For Claimant: Kalis, Esq. of Poplar & Kalis, P.C. For Respondent: Glenn Reichardt of Kixkpatrick & Lockhart. Claimant filed a Statenent of Clai" on March 7, 1991 and executed a submission agreement on March 7, 1991. Respondents filed a joint statanent of Answer on May 9, 19

H.A.S.D. AWARD NATIONAL ASSOCIATION OF SMLlJHI'i'lES In the Matter of tbe Arbitration B« of Olidy Van Mocker 91-00771 PUBLIC Brotbers* dainant Jtony Van Nbcfcer ("Claimant") was represented by Robert A Aram, Esq. of Nemee and Anderson. Saretaky, P.C. Sbaazsca Letam Brothara, me, and Micbael Maley (• by Miter J. PiflrczatCMBki, Beq. of Hartz, Statanent of Claim filed on: Muxu 7 f 1991. dainsnt's Submission Agreement signed