NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Paul C. Davis, Nancy B. Davis Claimants v. NASD Arbitration No. 95-03046 ith Barney Shearson. Inc.. R.J. Bernstein Respondents S National Association of •- •* . i. afers. Inc. All Ri£us Reserved REPRESENTATION OF PARTIES Paul C. Davis and Nancy B. Davis ("Claimants") was represented by David R. Clark, Esq., Higgs, Flet

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joann R. Schulz Case No. 95-03043 Name of Respondents Stuart, Coleman & Co.,Inc. James P. Orazio Ronald E. Barsa J.R. Bautista, Jr. REPRESENTATION For Claimant, Joann R. Schulz ("Schulz"); John M. Fedders, Esq. of Washington, D.C. For Respondents, Stuart, Coleman & Co., Inc. ("Coleman"), James P. Orazio ("Orazio"), and

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Woodrow Stewart Case No. 95-03040 Josephthal Lyon & Ross, Inc. f/k/a Rosenkranz, Lyon & Ross, Inc. GKN Securities Corp. JW Charles Securities, Inc. f/k/a Corporate Securities Group, Inc. Joseph Roberts & Co., Inc. Mitchell Held REPRESENTATION For Claimant Woodrow Stewart ("Claimant"), Benjamin P. Brown, Esq. from the law firm of Heinrich

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anna lavarone 95-03034 Name of Respondent Smith Barney Shearson, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 15, 1995, Claimant Anna lavarone ("Claimant 11 )! who appeared Pro Se, alleged that Respondent Smith Barney Shearson, Inc.("SBSr)> misrepresented the risk

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth Qian Xu, Claimant v. Wen Zhou, Metropolitan Life Insurance Company, Metlife Securities, Inc. and Quick and Reilly, Inc., Respondents Case Number: 01-00990 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: Arian Colachis, Esq. Golbeck Roth & Colachis, PLLC Seattle, Washington

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paul W. Laub, Claimant vs. Securities Services Network, Inc., Respondent. Case Number: 00-00678 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Paul W. Laub, (hereinafter "Claimant"): In Pro Per, 320 Ansonville Lane, Modesto, CA 95357. Respondent, Securities Services Network, Inc., (hereinafter referred to as "Respondent"): Ronald T. Klimas, Vice Presid

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Toshiaki Saito and Shareen K. Saito, Claimants vs. LLC & Co.. Inc.. Bear Steams £ Co.. Inc. and Yan Skwara, Respondents. Case Number: 95-03025 Hearing Site: Honolulu. HI REPRESENTATION OF PARTIES Claimants, Toshiaki Saito and Shareen K. Saito (hereinafter collectively referred to as "Claimants"): James T. Countiss. Esq., Green & Counliss. 700 Richards Street. Harbor Square. Suite

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James R. Wallis Name of Respondents Peter A, Schur A.T. Brod & Co., Inc. 95-03022 CASE SUMMARY Association of Securities Dealers, Inc. on June 20, 'ISanieril. WM1& ("& ?r° ^®» ^tegcd that Respondent A.T. Brc-cj^ &^*>3ncty^f ^(k&TlT^^oi^ convinced him to purchase1000"'flfe^^cp^ 't^pcare stocfc./ tiamiant furiiier alleged

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between N< uue ut g Claimant Linda Hughes Petty Name of Respondent George E. Brooks Robert B. Thompson 95-03021 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 19, • 1995'Claimant Linda Hughes Petty ("Claimant"), who appeared Pro SB"; alleged that she held an IRA :iadcxriihi£tf9C2 > 90246 Z

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Mike Farrage Cynthia Farrage vs. Name of Respondent Josephthal Lyon & Ross, Inc Anthony Duque NASDR Arbitration No.95-03000 REPRESENTATION For Claimant: Robert C. Chandler, Esq., Chandler & Associates, Riverside, California For Respondent Josephthal Lyon & Ross: Robert E. Murphy, Esq., Josephthal