NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-05065 Janice Bradley, claimant vs. AXA Advisors, LLC and Michael A. Metz, respondents. ATTORNEYS: Claimant appeared pro se, Balliston Spa, NY. For Respondent AXA Advisors, LLC appeared Richard J. DeMarco, Esq., in house counsel, New York, NY. For Respondent Michael A. Metz appeared James C. Keidel, Esq., New York, NY. DATE FILED: September 26, 2001 CASE SUMMARY: Claimant allege

NASD Arbitration No. 91-03617 N.A.S.D. AWARD MATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Earl McClaskey Marilyn McClaskey Name of Respqndents Scares Financial Group Charies Richard Bateman REPRESENTATION For Claimant: Richsird L. Sacks - Investors Recovery Service; Novato, Califomia For Respondents: Andrew H. Wilson, Esq. - Wilson Ryan & Campolingo, San Francisco, Califomi

N.A.S.D. AHASD ^KTIXXKi ASSOCmXCK OF SBCDRTmS ™aT.^,cj In tbe Matter of tbe Azbitzacion Nneo^Qalna^a jason A. Lelb vs. NASD «91-03581 Beiuata Ebilip Adler Paul Mayer For dalmantt Lae Greeoberg, Esq., Cblvar City, Califosnia 9br Beqpondantst Micbael K. Glees, Esq., Kassal, Young & Logan, Long Galifoaaola Statanant cf Claim filsdt Noveaber 13, 1991 JtMKlBd dala filedt Zfeoeeh Ifi, 1992 SeooDd AaandBd delm filedt Hay 6, 1992 daiasnt

N'.A.Ib.D. AWARD NATIONAL .ASS(KI.ATION OF SECURITIES DE.ALERS. INC. [u tho .Matter or tlie Arbiinition Between Name ot Claimants Vernon Wynn and Helen R. Wynn and Q1-03565 Name or Respondents First ol Michigan Coipoi^tion and Juhn Ainmzi REPRESENTATIOX OF PARTIES Claimants were represented by Anthony V. Troean, Esq. of Weisntan. Trogan, Young & Schioss. P.C. ufBinninghain. Michigan. Respondenrs First of Michigan Corporation and John Ani

N.A.S.Z>. AHARD NATICNAL ASSOCTAriai OF SECUSHnS DEALERS In the Matter of tbe Arbitzatioa BetMeen ^D^^aalnat(s^ Jobn HazzcM vs. 91-03376 Name of neepondent (s) Oean Witter Ssynolds, Inc. Robert M. Buzfce For daiioBnt: Ricbazd Sacks, Ibsesbors Raooyery Service, Nbvatxi, California Fbr Reqjcndents: CUrt H. Mialler, Esq., Dean mtter Reynolds, Inc., San Ftanclsoo, California Stateoaut of Cladm filedt October 25, 1S91 Clal2iBnt*s Subadssl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Samuel Mizrahi, Samuel Miiziahi, TTEE-Miziahi Metal DBPP vs. NASD #91-3365 NameofRegnnndenta E.I. Sales. Inc., Michael Ryan REPRESENTATION For Claimant: Jonathan W. Evans of Evans, Sasaki & Soule of Los Angeles, California Co-counsel: Michael Friedman, Esq. of Attorney at Law of Pasadena, California For iRespondents: Te

N.A.S.D. AHASD NAIXCNAL ASSOdAXZOT QP SECBSTI^S VEKSBS lb, the Matter of the Ariaitzatiaa Betwoieii Kaae of dalBanfc Yoocaa Katz vs. MASD #91-03271 Naap '^ p»mmrtwnts Tbluca Pacific Secuzities Peter Blowitz Steve Sciednan For daiaant: Paul H. Sanuela, Esq., Santa Maniea, CaJIfomla For Raspondentsi Bheldcn M. Jaffe, Esq., Loa Angeles, Caiifoznla Statanant of dala filed: October 17, 1991 daiaant's SuJarinslm Agzeenant slgnadt October 3

N.A.S.D. AHASO MATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In che Matter of che Arbitratioa Between Name of rlaimant Jeunes W. Anderson and Anderson Development, Inc. Defined Benefit Pension Plan and Trust 91-02516 and Namea of Rgigpondenta Bateman Eichler, Hill Richards, Inc., Robert M. Kaplan and John Jetter Claimant, James W. Anderson and Anderson Development, Inc. Defined. Development Plan was represented by Martin R. Galbut,

N.A.S.D. AKARD MATIOnL ASSOdATICK OF SBCQRZnBS DEAZ£8S la tte Matter of tte Axbitraticn Between ^a^^CiaiaBnt SI Ganlao Bospital Foundation va NASD *91-02257 of Prudential-Bacte Securitiee, inc. Richard F. Kane Ptr dalnantt Patrick C. Cooper, Baq. - MaCutCban, Dtyle, Br»A & For Beapondantt Hue S. Dobin, Baq. - Pmdential Securitiee, inc. Statenent of Claim filedt JUly 24, 1991 dalaaatt's Sdteission Agreaant signed ont JUly 15, 1991 Jbi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between 1 Name of Claimants Dominick and Collen DiStefano Case No. 00-00144 Name of Respondents Summit Financial Services Group, Inc. William Bresley Hearing Location: Philadelphia, Pennsylvania REPRESENTATION OF PARTIES Claimants Dominick and Collen DiStefano ("Claimants") were represented by Andrew J. Stoltmann, Esq., of the law firm of Maddox Koeller Hargett & Ca