NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Allen W. Zahn and Donald A. Zahn Claimant(s) vs. Oppenheimer & Co., Inc. Respondent(s) NOTICE OP ARBITRATION AWARD 90-00360 CASE SUMMARY Claimant (s) Allen W. Zahn and Donald A. Zahn alleged that Respondent(s) Oppenheimer & Co. , inc. owes Claimant for amount left in account when it was closed by Respondent. Respondent has not answered the

Arbitration N.A.S.D. AWRRD National Association of Securities Dealers, Inc. NATICNAL ASSOCIATION OP amui'ms DERLERS 33 New York. N.Y. 10004 In the Matter of the Arbitration Between FAX (21 2) 858-4389 Name Of W. Jeffrey Walker, Executor for the Estate of Harry D. Coryell Roger L. Coryell Nancy S. Coryell Charles H. Rodgers Frances M. Badgers 90-00439 (consolidated with 90-00440) Stanley J. Lazusky Jr. Legg Mason Wood Walter, Inco

Arbitration N.A.S.D. AWARD National Association of Securities Dealers, Inc. NKTXCNftL ASSOCIATION OP aUflHTUg DEALERS _____ New York. N.Y. 1 0004 In the Matter of the Arbitration Between. FAX (21 2) 858-4389 of W. Jeffrey Walker, Executor for the Estate of Harry D. Coryell Roger L. Coryell Nancy S. Coryell Charles H. Rodgers Frances M. Rodgers 90-00439 consolidated with 90-00440) Stanley J. Lazusky Jr. Legg Mason Wood Walter, Inc

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name gf Claimant.^) Whiskey River Company and Barney Jef fcoats Prudential-Bache Securities Inc. Prudential-Bache Agriculture, Inc. In Statements of claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about February 2, 1990, by Whiskey River Company and on or about February 12, 1990 by Barney Jef fcoats ("Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Napis of Cla J ijiHnt: (s \ Whiskey River Company and Barney Jeffcoats " ——^._._ 9 0~*' 0 0357 "^onsalidated with Nans cf RespondentfsL Prudential-Bache Securities Inc. Prudential-Bache Agriculture, Inc. In Statements of claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about February 2, 1990, by W

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between John J. Bruaatl 90-00356 Seidner Securities David M. Seidner GP issoes This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 26, 1990. Claimant John J. Brusati (Brusati) alleges that ha purchased 1,000 shares of an unlisted ajcumi stock through Respondent David M. Seidner's broker/dealership becau

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03266 Josef I. Bahlke, Claimant vs. Thomas A. Ransohoff, Respondent. ATTORNEYS: Claimant, Josef I Bahlke, appeared Pro Sc, Red Bluff, California. For Respondent, Thomas A. Randsohoff, appeared Christopher D. Cavuoti, Esq., Office of General Counsel, Litigation Department, Merrill Lynch, New York, New York. DATE FILED: June 19, 2001 CASli SUMMARY: Claimant alleged that respondent ne

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mike A. Klinglesmith Claimant(s) vs. 90-00355 Dominick and Dominick, Inc. and Wayne W. Ratliff Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Mike A. Klinglesmith alleged that Respondent(s) Dominick and Dominick, Inc. and Wayne W. Ratliff failed to cease option trading in his account when he requested them to do so. Res

N.A.S.D. AWARD NKTICNAL ASSCCIATIQN OF SSCURITIES DEMURS In the Matter of the Arbitration Between Mama of James B. Helmer, Jr. and T & H Breeding Partners 90-00354 Name of Respondents Prudential-Bache Securities Inc. Prudential-Bache Agriculture, Inc. Heard before: Mama Public/Industry Andrew M. Tsmin, Esq. Public Arbitrator Walter Beckjord Public Arbitrator W. Pat Oonnexs Industry Arbitrator Claimants, James Helmer, Jr. and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Mare of Lawrence & Silva Harris 90-00344 MMB of Regponrtentfsl Merrill Lynch, Pierce Farmer & Smith Inc Bateman Eichler,Hili Richards, Inc. This case vies filed with the National Association of Securities Dealers, Inc. ("NASD") on February I, 1990. Claimants Laurence and Silva Harris (Harris) brought this claim against: Respondents Batman,