NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-02070 Linjun Xie, Claimant vs. First Flushing Securities, Inc., Respondent. ATTORNEYS: Claimant, Linjun Xie, appeared Pro Se, Corona, New York. For Respondent, First Flushing Securities, Inc., appeared John Liu of First Flushing Securities, Inc., Flushing, NY. DATE FILED: May 4, 1999 CASE SUMMARY: Claimant alleged that respondent, First Flushing Securities Inc., rejected his se

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02068 Kevin Bartholomew and Diane Easlick, JT Ten, claimants vs. DLJ Direct, respondent. ATTORNEYS: Claimants Kevin Bartholomew and Diane Easlick, JT Ten, ("Claimants"), appeared Pro Se., Deerfield Beach, Florida. For Respondent DLJ Direct, ("Respondent"), David J. Campbell, Esq., Senior Vice President and Assistant General Counsel, Jersey City, New Jersey.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE; 99-02067 Jane Ann Hoxsey, IRA, claimant vs. Gary Williams, respondent. ATTORNEYS: Claimant, Jane Ann Hoxsey, IRA ("Claimant"), appeared Pro Se., Bothell, WA. For Respondent, Gary Williams ("Respondent"), appeared Janet T. Epstein, Esq., First Vice- President and Senior Attorney of Morgan Stanley Dean Winer, San Francisco, CA. DATE FILED: 05/04/99 CASE SUMMARY

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: #99-02066 Fidelity National Capital Investors, Inc., claimant vs. Barry Weiss, respondents. ATTORNEYS: For Claimant, appeared Wayne A. Krause, Esq., of the firm, Krause & Hirons, Marietta, GA, Respondent, Barry Weiss did not respond to the Statement of Claim. DATE FILED: May, 4, 1999 CASE SUMMARY: Claimant alleged that pursuant to an InterOffice Memo and Account

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC, CASE: 00-03514 Susan Johnson Vjfyll, and Randall J. Wall, Claimants vs. Danny J. Chapman and Merrill Lynch Pierce Fenner &| Smith, Inc., Respondents. ATTORNEYS: For Claimants appeared R. Scott Davies, Esq., of the firm Briggs and Morgan, Minneapolis, MN. For Respondents appeared Peter Bon Viso, Esq., in-house counsel for Merrill Lynch Pierce Fenner & Smith> Inc., New York, NY. DATE FILE

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Glenn L. and Nancy G. Wenger vs. Case No. 99-02064 Name of Respondent Ameritrade, Inc. REPRESENTATION OF PARTIES Claimants, Glenn L. and Nancy G. Wenger, hereinafter collectively referred to as "Claimants": Paul Crowiey, Esq., Downingtown, Pennsylvania Respondent, Ameritrade, Inc., hereinafter referred to as "Respondent": James J. Vihstadt, Esq

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Dr. Mark Rosenberg and 99-02063 Scottsdale, Arizona Name of Respondents Paradise Valley Securities, Inc. Anthony Silverman REPRESENTATION OF PARTIES Dr. Mark Rosenberg ("Claimant") was represented by Steven J. Rosenberg, Esq., Chicago, Illinois. Paradise Valley Securities, Inc. ("Respondent Paradise Valley") and Anthony Silverman ("Responden

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: George Hudson and Brenda Hudson (Claimants) vs. Ameritrade, Inc. (Respondent) Case Number: 99-02062 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimants George Hudson and Brenda Hudson ("Claimants") appeared prose. Respondent Ameritrade, Inc. ("Respondent"): James J. Vihstadt, Esq., Ameritrade Legal Department, Bellevue, Nebraska. CASE INFORMATION Statement

r Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Xiao J. Lo, Claimant v. E*Trade Securities, Inc., Respondent. Case Number: 99-02056 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Xiao J. Lo In Pro Per San Gabriel, California For Respondent: Ekwan E. Rhow, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, California CASE INFORMATION Statement of Claim filed: May 4, 1999 Cla

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name Vauneva M. Jennings Case No. 99-02055 Nani6_f*.f Respondents National Securities Corporation; Frank Mathis, Jr.; The Boston Group; Robert Anthony DiMinico; Kye Hellmer; Scott Lee Mathis; Bonnie Lou Moore; and, Joseph Salvani Claimant Vauneva Jennings ("Jennings") was represented at the evidentiary hearing by Ronald C. Koksal, Esq., of the fi