NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-04805 Ching-Ko Chen and Susan Chen, claimants vs. Henry Miao, respondent. ATTORNEYS: Claimants appeared pro se, Jamaica Estates, NY. For Respondent appeared Joan M. Markey, Esq., New York, NY. DATE FILED: September 10, 2001 CASE SUMMARY: Claimants alleged that respondent made misrepresentations regarding the stocks he recommended to claimants, namely ATHM and SFE, and that responde

y .Ncv% Vurk Stock Kxchange In the Matter of Arbitration Between NYSE Case: Kennetti Larity v A.G. Edwards & John Grossi Attorneys: For Clajmant(a): Kennetti Larity - West Keansburg, NJ Fbr Respondent(s): Mkdieel D Gates Esq. - St. Louis, MO John Grossi - Princeton, NJ Date Filed: 05/27/92 First Scheduled: 11/O6/92 Decided: 11/06/92 Case Summary: claimant, A customer, has alleged ttiat he was misinformed as to tfie risk of buying

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Uonel Llndsly, Jr. v Prudential-Bache Securities, Inc. and Paul Coune Attorneys: For Clainiant(s): Lionel J. Llndsly Jr. - Slidell, LA Fbr Respondem(s): Harold G. Ognelodh Esq. - New York, NY Haroki G. Ognekidh Esq. - New York, NY Date Filed: 05^11/92 First Scheduled: 10/05^2 Decided: io/os/92 Case Summary: Claimant, a customer, has alleged that respondents gave

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Dorothy /Anderson v Merrill Lynch Pierce Fenner & Smith Attorneys: For Clain»nt(s): Dorottiy Anderson - So. Orange, NJ For Re8pondent(s): Daniel A. Gardella Esq. - New York, NY Date Fiied: 05/15/92 First Scheduled: 10/05/92 Decided: 10/05/92 Case Summary: claimant, a customer, has alleged that respondent sold her Equitable stock which could not be sold. Product: EQU

^^ew York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Bruno Biondi and Ada Biondi v Merrill Lynch Pierce Fenner Smith Inc. Attorneys: For Claimant(s): Bruno Biondi - Nanuet, NY For Respondent(s): Robert E. Goldberg Esq. - New York, NY Date Filed: 04/30/92 First Scheduled: 09/09/92 Decided: 09/18/92 Case Summary: Customers against member firm for alleged misrepresentation regarding Limited Partnerships. Produc

y New York Stock Exchange 1 the Matter of Arbitration Between NYSE Case: Kklder, Peabody & Co. Incorporated v Gregory C. Beyl Attorneys: For Claimant(s): Pamela /Armstrong Esq. - New York, NY Fbr Re8pondent(s): Gregory C. Beyl - Elmsford, NY Date Filed: 03/24/92 First Scheduled: 09/09/92 Decided: 09/14/92 Case Summary: Member Rrm V Customer for payment of a debit balance due to ttie purchase and liquidation of Tultex Corp. Stock.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: David Davidson v Shearson Lehman Brothers Inc. Attorneys: Fbr Clainiant(s): Joseph F. Keenan Esq. - Garden City, NY For Respondent(8): Arthur C. Schupbach Esq. - Mineola, NY Date Filed: 04/24/92 First Scheduled: O8/19/92 Decided: 09/10/92 Case Summary: Non-member against member firm for alleged compensation dispute. Product: OTHER Market: Claim Data Ciaim

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John Mulkern vs. PaineWebber, Inc. Attorneys: For Clainiant(s): John Mulkern - New York. NY For Respondent(s): Elyse A. Adrian Esq. - Weehawken, NJ Date Filed: 04/24/92 First Scheduled: 09/25/92 Decided: 11/12/92 Case Summary: Customer vs. Member Firm elleging unsuitable investments in scores, options and "low cap stocks'. Claimant seeks recovery of his losses an

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Norman L. Smissman v First Albany Corp. Attorneys: For Clainiant(s): Norman L. Smissman - St. Louis, MO Fbr RespondenKs): Michael R. Undburg Esq. - /Ubany, NY Date Filed: 04/13/92 First Scheduled: 09/25/92 Decided: 09/25/92 Case Summary: Claimant, a customer, alleges respondent, a member firm, issued negative press release whnh caused drop in stock resulted In a

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michael and Susan Lossner v Shearson Lehman Brothers and Howard Rogers Attorneys: For Clainiant(s): Alfred S. Koffler Esq. - Hicksville, NY Fbr Respondent(s): Paul R. Williams Esq. - Mineola, NY Date Filed: : 04/09/92 First Scheduled: 09/24/92 Case Summary: claimant, a customer, has alleged that respondents imprudently managed ttieir TWA bonds. In addition,