Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Warren S. Schneider, (Claimant) vs. Brown & Company Securities Corp., (Respondent) Case Number: 99-01612 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Warren S. Schneider, hereinafter referred to as "Claimant" appeared /w se. Respondent, Brown & Company Securities Corp., hereinafter referred to as "Respondent": Barry S. Fischer, Esq., General Counsel, Brown & Co

N.A.S.D. NATIONAL ASSOCIATION CF SECURITIES DEALERS :~h tne Matter of t£e Arcitraticn Between /Caries E. Coropton and David 3. Zcnptcn Claimants and Consolidated Cases 91-00297 am Qt A. G. Edwards & Sons, Inc. and John l». Collins Rescondents^ OP PAWffiS Claimants v*are represented by Henry Kantor, Esq. of Pozzie, Wilson, Atchison, O'laary and Corby or Portland, Oregon. Respondent A. G. Edbards and Sons, Inc. was represented by Micha

Arbitration NATIONAL ASSO LAXi OP tJWJ* IH I' 1 ' 1 "* la the Matter of the Arbitration Between Eva Dapelo Name of Respondent (a) Stuart Janes Coofjexxy, Inc. First Interregional Equity •90-00817 Equitable Securities of New York, me Levoo Securities Corp. John w. Sooner, Inc. A.K.A. Jay W. Leonard Doottnick Neuhaus, Jr. Stuart Graff David W. Appel, Jr. Bedaert N. Goettlich National Association

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marion Edwards, et al 90-00508 consolidated with Legg Mason Howard Weil Haard before the msnbers of the Arbitration Panel: Nane Public/Industry William 0. Hawkland Public Clayton J. Borne - Public Charles A. Schildhauer ~ Industry in the Statement of Claim filed with the National Association of Securities Dealers, inc. ("WSD") on on or

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS INC In the matter of the Arbitration Between Name of Clajrnant Robert C. Mathwig NASD Arbitration No. 95-00698 Name of Respondent National Securities Corporation REPRESENTATION For Claimant: Bruce A. Buskirk, Esq., Bremerton, Washington For Respondent: Mark Roth, Esq., National Securities Corporation, Seattle, Washington CASE INFORMATION Statement of Claim filed: February 8, 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DFAT.ERS. INC. In the matter of the Arbitration Between Name pfClaimant Kenneth E. Peck NASD Arbitration No.95-00577 Name of Respondents Smith Barney Shearson, Inc. R. Joseph English REPRESENTATION For Claimant: Michael J. Bird, Esq., Brown, Hughes, Bird, Lane & Rote, Grants Pass, Oregon For Respondents: Stephen Young, Esq., and Elizabeth H. Lindh, Esq., Keesal, Young & Logan, Lon

N.A.S.TV AWARD MATTONAT. ASSOrTATTON OF SF.nmTTTP.q nPAT.FHS In the matter of the Arbitration Between Name of r!lairnant(s) Dihn Iran and Clara Iran v. NASD Arbitration No. 95-00305 nf Ttespnndent(s) Olde Discount Corporation and Bien Cai MgPRESFNT ATTON For Claimant: Daniel S. Klein, Esq., Peterson & Klein, P.C. Irvine, California For Respondent: David T. Doyle, Esq., Olde Discount Corporation Detroit, Michigan TASK INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stella Young Pizer 95-00301 Name of Respondent Fidelity Brokerage Services, Inc. REPRESENTATION For Claimant Stella Young Pizer ("Pizer"), Lloyd S. Clareman, Esq., located in New York, New York. For Respondent Fidelity Brokerage Services, Inc. ("Fidelity"), Michael D. Shannon, Esq. of the law firm of Phillips Lytle Hitchcoc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03509 Raymond James & Associates, Inc., claimant vs. Ray Warren, respondent. ATTORNEYS: For claimant Raymond James & Associates, Inc., appeared in-house counsel, Deborah J. Howard, Esq., St. Petersburg, FL. Respondent Ray Warren did not respond to the statement of claim. DATE FILED: August 2, 1999 CASE SUMMARY: Claimant alleged respondent purchased shares of Matrix Pharmaceutical,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard C. Hunt 95-00284 Name of Respondent Aetna Life & Casualty Company REPRESENTATION For Claimant Richard C. Hunt appeared Carl L. Feinstock, Esq., Rochester, New York. For Respondent Aetna Life & Casualty Company appeared Aaron J. Schindel, Esq., Proskauer Rose Goetz & Mendelsohn, LLP, New York City, New York. CASE INF