NASD Arbitration No. 92-04247 _ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant (s) Paul L . Bishop Name of Respondent (a) A.G. Edwards & Sons, Inc. REPRESENTATION For Claimant: Eric G. Wall is, Esq., Crosby, Heafey, Roach & May, Oakland, California For Respondent: Clay L. Grumke, Esq., A.G. Edwards & Sons, Inc., St . Louis , Missouri CXflg TMfpHMXTIQN

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS PUBLIC In the Matter of Arbitration Between Name of Claimants Harvey Manes Harvey Manes, M.D., P.C. Defined Benefit Pension Plan Harvey Manes, M.D., P.C. Defined Contribution Pension Plan Melissa Manes Wendy Manes vs. Case #: 92-04245 Name of Respondents David Lerner Associates, Inc. Rick Barren REPRESENTATION For Claimants: Bruce Bandes, Esq. and Erol Blank, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Falplat S.A. 92-04235 Name of Respondent Shearson Lehman Brothers, Inc. Name of Third-Party Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Kidder, Peabody & Co., Incorporated CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 18, 1992, Claimant Falplat S.A., who

NASD Arbitration No. 92-04233 N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant fg) PaineWebber .Incorporated Name of Respondent (s) David Batu REPRESENTATION For Claimant: Scott M. Ratchick, Esq., Hunton & Williams, Atlanta, Georgia For Respondent: David Batu, Hillsboro, Oregon CASE INFORMATION Statement of Claim filed: December 4, 1992 PaineWebber ' s R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-02546 Andres Ordonez, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: For Claimant appeared David Harrison, Esq., of the firm Spivak < fe Harrison, Los Angeles, CA. For Respondent appeared Christopher B. Boyce, compliance analyst, Rancho Cordova, CA. DATE FILED: May 15, 2001 CASE SUMMARY: Claimant alleged that respondent made an unauthorized sell order of Art Technology

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond J. DiRussa 92-04232 Name of Respondents Dean Witter Reynolds Inc. James F. Higgins Robert J. Dwyer Lawrence J. Solan, Jr. REPRESENTATION For Claimant: Mark F. Kluger, Esq. of Barry & McMoran, Newark, New Jersey. For Respondents: Carol S. Bernheim, Esq. of Epstein Becker & Green, New York, New York. CASE INFO

N.A.S.D. AWARD MATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Renee Baron Name of Respondent(s) Financial Network Investment Corporation A. Mildred Harve NASD Arbitration No. 92-04231 For Claimant: Reed H. Bement, Esq., Law Offices of Reed H. Bement, Inc., San Francisco, California For Respondents: Louis H. Castoria, Esq., Wilson, Elser, Moskowitz, Edelman & Dicker, San Francis

JTL-06-1995 158 59 FROM TO 1212B584429 P. 02/16 >, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. TO the Matter of the Arbitration. Between Gregory R. Martina, as Plan •^ffitnfotrttor for Plan aryf TViitr and gfl for Aomari Mntino and Maze Marino and 92-04230 >famt> of Bemondem* John R. Roessig individuaUy and d/b/a Masters Financial Group; Inc. REPRESENTATION' OF PARTIES Gregory R. Maitinu, as Ran A^ml'O* 11 """ 1

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Shurong Mao 92-04228 Name of Respondents Josephthal Lyon & Ross, Inc. Stephen (A.K.A. Ji Ping) Yu CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 18, 1992, Claimant Shurong Mao who appeared Pro Se, alleged that on December 18, 1993 Respondent Stephen Yu, Account

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameoLClainjant Jim E. Welch 92-04227 NjuneofResDondents Venture Trading Inc. Roberta R. Degand CASE SUMMARY In a claim filed with the National Association of Securities Dealers,.foe, on December 18,1992, Claimant Jim B. Welch who appeared Pro Se, alleged that Respondent Roberta Degand, while employed by the Respondent firm Ventu