NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04498 Continental Capital Investment Services, claimant vs. Erick Leonard Larson, respondent. ATTORNEYS: For Claimant appeared Steven M. Burke, Esq., of the firm Lydy & Moan, Sylvania, OH. Respondent appeared pro se s Stockton, CA. DATE FILED: July 31, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed due to commissions that were overpaid. Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-04495 Metropolitan Life Insurance Company Name of the Respondents Hearing Site: Indianapolis, Indiana Steven L. Gould and Gerald Wisne MATIIRF n Member Firm vs. Associated Persons n PARTIFS Martin Harris, Esq. of the law firm Connelly Sheehan Moran, located in Chicago, Illinois represented Claimant, Metropolitan Life Insurance Company

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Muriel and Leonard Marcus JTWROS vs. Claimant{s) Graystone Nash, Joe Gallego, Donna Mason, Robert Palumbo et al Respondent(s) 0 )4 (3'- - i Vclume Year NOTICE OF ARBITRATION AWARD 89-03523 CASE StIMMARY Claimant(s) Muriel and Leonard Marcus JTWROS alleged that Respondent(s) Graystone Nash, Joe Gallego, Donna Mason, Robert Palu

ArtJitratlon S N.A.S.D. AWARD National Association of Securities Dealers. Inc. NATICNAL ASSOCIATICN OF SBCnRITIES DEALERS ^'^,!^r'"^*3lLS*"*^'' 33 Whrtetiall StTBGl — New York. N.Y. 10004 In ti:e Matter of the Arbitratica Between FAX l2T2)858-'t389 Mame of Cla-im=intLg Iferrill Lynch, Pierce, Fenner & aniti. Inc., Prudential -Bache Securities, Inc. (n.k.a. Prudential Securities, Inc.) Solcoxai Brothers, Inc. and Smi th Bamey, Harris Djoham & Co.,

N&TIONIiL ASSOCUTIOH OF SECURITIES DEALERS, INC. In the Matter of the -Arbitration Between/Ajnong Leon and Harriet Roth C Laimants vs PaineWebber, lac and Arthur Maikia Respondents Case #89-03510 Award CASE SDHMLRT Claimants Leon and Harriet Roth ("Claimants")» alleged that Respondents PaineWebber, Inc. and Arthur Malkln ("Respondents"), churned Claimants' account and place them in unsuitable investments. Claimants' alleged tha

NA.S.D. ANARD NftnCNRL ASSOCIKTICN OF SBCURITIES DEALQS In the Ifeitter of the Ai±)itraticn BetMeen Maty Pioclllo Peter C. Piocillo, POR. 89-03506 laree Hulshof £ ClainBnts alleged that Respcndent misrepresented an equity mortgage fund that the Claimants established as a long-tezm investment. Claimants further alleged that all aspects of the fund were not discloeed to him by the RespGndent. Respandent maintained that the fund vas fully explained t

NAT^IONAt ASSOeiATION OF" SEeURrlTJES DEALERS- In the Matter of the Arbitration Between Fahnestock & Co., Inc. Claimant(s) vs. SMC Trading, Elizabeth Connolly and Susanne Connolly Respondent(s) NOTICE OF ARBITRATION AWARD 89-03502 CASE SUMMART Claimant(s) Fahnestock & Co., Inc. alleged that Respondent(s) SMC Trading, Elizabeth Connolly and Susanne Connolly paid for securities purchased by Claimant on Respondents' behalf with a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration between Vanessa L. Menke Claimant 89-03494 and Power Securities Corporation, Jeff Brown, Sheppard Shapiro, Richaid Marchese, Eric Montchecourt, Orville Sandberg, Rafco and Joseph McDonough Respondents REPRESENTATION OF PARTIES Claimant was represented by Jeffrey G. Brown, Esq. of Shannon Law Offices, Chicago, Illinois. Respondents Jeff Brown,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants John C. Cochran and Carolyn M. Cochran, JTWROS, John C. Cochran, RRA Carolyn M. Cochran, RRA and Carolyn M. Cochran, IRRA Names of the Respondents Merrill Lynch, PierceJFenner & Smith, Inc. and Scott D. Winningham Case Number: 02-04487 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENT

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02901 Ted Rank and Karol Rank, Claimants vs. Arthur C. Yoss and Quick & Reilly, Inc., Respondents. ATTORNEYS: Claimants, Ted Rank and Karol Rank ("Claimants"), appeared Pro Se., Tyler, TX. For Respondents, Arthur C. Yoss and Quick & Reilly, Inc. (collectively "Respondents"), appeared: Bennett Falk, Esq., and Michael P. Winter, Esq., of the firm Morgan, Lewis & Bockius, Miami, EL.