N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between • Name of Claimant Clark Overbeck Case No. 94-00123 Name of Respondent Lew Lieberbaum & Co., Inc. For Claimant, Clark Overbeck ("Overbeck"): Louis D. Putney, Esq. and James L. Watson, Esq., of Tampa, Florida. For Respondent, Lew Lieberbaum & Co. , Inc. ("Lew Lieberbaum"): Lawrence P. Sandor, Esq., Corporate Counsel, New York, New York.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Janet K. Wilson and Nancy M. Matthews and 94-00122 Name of Respondent Toluca Pacific Securities Corporation Robert L. Stormes REPRESENTATION OF PARTIES Janet K. Wilson and Nancy M Matthews ("Claimants") were represented by John D. Phillips, Esq., Hall & Evans, L.L.C., Denver, CO. Toluca Pacific Securities Corporation ("Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between o Cl Robert and Robert Mark McAllister, JTWROS 94-00121 Name of Respondents Robert Thomas Securities Richard Vigsnes REPRESENTATION OF PARTDZS Claimants Robert and Robert Mark McAllister ("the McAllisters") were represented at the hearing by J. Michael Fitzsimraons, Esq. of Fitzsimmons, Robert & Paine, of Chicago, Illinois, and by James J.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James J. and Margaret T. McGarrity 94-00112 Name of Respondents Robert Todd Financial Corporation Robert Fallah Mitchell P. Conlon REPRESENTATION Claimants James J. and'Margaret T. McGarrity ("Claimants") were represented by J. Jerome Olitt, Senior Arbitration Specialist and House Counsel for Arbitrator and Mediation Speci

N.A.S.D. AWAIiD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Evelyn Berezin 94-00111 Name of Respondents Unterberg Harris, L.P. and Brian Finnerty REPRESENTATION For Claimant: Peggy Kerr, Esq., a sole practitioner, New York, NY For-Respondents: Geqffejry Potter, Esq. of the law firm of Kramer, Levin, Naftalis, Nessen, Kamin & Frankel, New York, NY CASE INFORMATION Statement of Claim

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ju Won Lee, Claimant v. Hanmi Securities, Inc., Soon-Gwon Bang, Richard H. Oh, and Byung I. Mitij Respondents Case Number: 01-02916 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Marc I. Zussman, Esq. Law Offices of Marc I. Zussman Los Angeles, California For Respon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00924 B. Wheatley Williams Trust, claimant vs. Dean Witter Reynolds, Inc., respondent. ATTORNEYS: For Claimant appeared Christopher D. Lonn, Esq. of the firm Titus, Brueckner & Berry Scottsdale, AZ. For Respondent appeared in-house counsel, Vincent J. LaGreca, New York, NY. DATE FILED: March 2. 2000 CASE SUMMARY: Claimant alleged that respondent provided unsuitable investment advic

'* i?i ' .* •X 1 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS III the Matter of the Arbitration Between Lany and Virginia Mueller 94-00109 TSfame of Respondents Stratton Oakmont, Inc. Tim HQlls REPRESENTATION Claimant Larry Mueller ("Mueller") appeared at the hearing pro se. Claimant Virginia Mueller did not appear at the hearing. (See "Other Issues"). Respondents Stratton Oakmont, Inc. ("Stratton Oakmont") a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Martha Kelly 94-00108 nf T?ftondeTiif Merrill Lynch, Pierce, Fenner & Smith, Inc. For Claimant: Martha Kelly ("Kelly") was represented by William A. Whittle, Esq. of Whittle & Associates, P.C:, located in Corpus Christi, Texas. For Respondent: Merrill Lynch, Pierce, Fenner &. Smhh, Inc. ("Merrill Lynch") was represented by Amanda Nathan, Esq. of Gi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Mattef t)f the Arbitration Between Name of Claimant GKN Securities Corp. 94-00418 Name of Respondent Kevin Gumb CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1994, Claimant GKN Securities Corp., through its representative, Katherine Nathan, Esq., alleged that Respondent Kevin Gumb commenced employment as a registered repr