Arbitration N.A.S.D. AWARD National Association of Securities Dealer*. Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS j j f k 10004 In the Matter of the Arbitration Between Name of Claiipant Yanxi Meng vs 90-00738 Ji-Ping Yu Heard before: David M. Kaplan, Esq. Public This claim was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. March 11, 1990, C

N.A.S.D. AWRED ASSCCXKnCN OF SECURITIES Taarjgpg la the Matter of the Arbitration BetMeen Glenn and Adal* langan V8 Paine, Webber, Jackson and Curtis ftjmii't- Feisner Dorothy Peisner NftSD Arbitration No. 90-00923 For da For i Andrea J. Rubin, s Scott M. Ratchick Office* of Gary D. Fidler Statement of < *!•< • filed: Much 29,1990 Claimant's 9i±u±mmicn Arjreemeot signed cm March 5, 1990 Joint Statwnb of Auamu. filed by

Arbitration N.A.S.D. FINAL ORDER NationalAssociationot Securities Dealers. Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS jJJewVg^wYork 1000' in the Matter of the Arbitration Between Simmons Correia, Jr. Case # vs 90-01155 Name of Respondent. Fidelity Investments This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on April 24, 1990.. Claiman

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Elliot S. Berman, Debra Berman, and Martin J. Ungar, (Claimants) vs. First United Equities Corp., Douglas K. Traynor, Frank L. Giacchetto, Jason A. Cohen, Jonathan D. Winston, and Bear Stearns & Co., Inc., (Respondents) Case Number: 99-03625 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Elliot S. Berman ("E. Berman"), Debra Berman ("D. Berman"), and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between btam nf Mazy E. Cooper, TTEE 90-01488 Securities Corp. Harry QliV* B|| Bn RoseMary Eleanor Shannon For Claimant: Ricki C. Ring, Esq. For Respondents: In Pro Se /mended Statement of Clnim and Answer Tb Counter Hn1m filed: February 20, 1991 •« Claimant's Submission Agreement signed cni June 8, 1990 Statement of Answer and

N.A.S.D. AWARD NRITCNAL ASSOdKTXCN OF SECURITIES In the Matter of the Arbitration Kama of Claimant (si VB. 90-01813 ., Inc. For daiaantt Archibald M. Mill, m. Law Office of Archibald M. Moll, III, Heywood's Bnllrt-lna, 1001 Second Street, Sarnmnttt, CA 95814 FOOT RBnpmrtenht Robert *»1ir»^hfrr, Bag;, Kpeaal, Ibuag £ Logan, 4 Bifaaioedero Center, Suite 1500, San Fnmciaoo, Ok 94111 Stai of Claim f iledt June 26, 1990 •'8^Be\MBi£BiJ

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Judith 90-01569 PaineWebter, inc. Joy Bechard Laus A'bdo James RyOell For Claimant: In Pro Se For Respondent: Patrick J. Howley, Esq. CftSE Statenant of Claim filed: June 4, 1990 Claimant's Submission Agreement signed on: May 28, 1990 Statement of Answer filed by Respondent, on: April 29, 1991 Respondent, Painewebber

NJLS.D AJftjUMAUJLli OF SBGDKIXnS la the Matter of the Arbitratiai W. Quatrmpfci r*iafra»it- 90-01847 David A. BbyeB & GbBpany, Claimant Robert Quattrodd. appeared pro se. Respondents Casey ApollTiakt and David A. Koyes & Company were repreaentPri by Robert Cram, Esq. of David A. Kbytes & Ccnpany, rhlraqo, Illinois. Tn a Stateneat of nn^ m filed with the National ftnnnHn*- •''•«' of Securitiea Dealers, lac. ("NASD 11 ) on or

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03623 Daryl Norman May, claimant vs. Smith Barney, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se., Kent, WA. For Respondent appeared in-house counsel Linda R. Alpert, Esq., New York, NY. DATE FILED: August 6, 1999 CASE SUMMARY: Claimant alleged that respondent erroneously changed his client profile and that this change caused losses in the account. Claimant also alleged ne

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03094 Matthew Howard York, Incompetent, by and through his General Guardian Shirley C. York Names of the Respondents Hearing Site: Charlotte, North Carolina BB&T Investment Services, Inc. David Gordon Smith Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Matthew Howard York, Incompet