KC New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Vlncem J. OeSimone, Trustee fbo Vincent J. DeSimone Defined Benefit Pension Plan & Trust vs. Bear Stearns & Co., Inc. Robert Palmer Attorneys: For ClainKmt(s): Francis Mintz Esq. - Los Angeles, CA For Respondem(s): Michele R. Fron Esq. - Long Beach, CA M Date Fiied: 04/26/91 First Sciieduled: Ti. Decided: < ^\^ih2. Case Summary: Customer against mem

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04839 Moshe Menaged Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Moshe Menaged, hereinafter referred to as "Claimant": Layne Verebay, Esq., Layne Verebay, P.A., Ft. Lauderdale, Florida. For Morgan Stanley DW, Inc., hereinafter

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants David Majure Suzanne O'Keefe Scodamel Securities Ltd. Partnership Soxstone Enterprises, Inc. Case No. 00-01328 Names of Respondents Sterne, Agee & Leach, Inc. Harvey McGehee Fred Eugene Brister, III Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For Claimants David Majure ("Majure"), Suzanne O'Keefe ("O'Keefe"), Scodamel S

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Peter A. Chafos vs. Larry Zimmerman, Thomas Ranfranz and Dain Bosworth, Inc. Attorneys: For Claimam(s): Frederic N. Brown Esq. - Rochester, MN For Respondent(s): James B. Lynch Esq. - Minneapolis, MN Thomas Ranfranz - Rochester, MN Larry Zimmerman - Ponca City, OK —— /7y, f^o-r /^pp«q< ^ Date Filed: 02/25/91 First Sciieduled: 07/31/91 Decided: ^V-^^''7 2_-

~ 'tw York Stock Exchange in the Matter of Arbitration Between NYSE Case: BEAR STEARNS & COMPANY INCORPORATED V JAMES GRAND Attomeys: Fbr Ctaimmit^: Nnholas K. Notias, Esq. - New York City, NY Fbr Raapondeni(i): Jamas Grand - New York City, NY Date RIed: os/ao/oi First Sctieduied: 12/17/91 Case Summary: Member firm vs. registered representative fbr aleged default on provisnn, whteh rastrictad his soNdtatton of Bear Steams die

New Yoric Stock Exctiange In the Matter of Arbitration Between NYSE Case: Alfred and Emilia Berdayes vs. Kidder Peabody & Conpany and Ibrahim Adei Attorneys: For ClaiaantCs): Anthony U. Trogan Esq. Birminghaa, fll For RespandentCs): Ibrahim Adel - East Lansing, HI George C. Cabell Esq. - Neu York City, NY Date Filed: 05/07/91 First Scheduled: 04/08/92 Decided: 04/09/92 Case Suaaary: Custoaer against Menber Firm and Registered Rep

New York Stock Exchange -.1 the Matter of Arbitration Between NYSE Case: Kkider Peabody & Co. v Ervin Rosenfeld Attorneys: For Claimant(s): Richard Kelly - New York, NY For Respondent(s): Ervin Rosenfeld - New York, NY Date Filed: 05/10/91 First Scheduled: 03/27/9Z Decided: 04/23/92 Case Summary: Member Firm v Customer seeking paymem of outstanding debit balance in respondam's accoum remaining after claimam lk)uidated the accoum to c

New York Stock Exchiange In the Matter of Arbitration Between NYSE Case; Drexel Burnham Lambert, Inc. v Janes N. Francis Attorneys: For Claiaant(s}: Ronald Shindler Esq. - Miani, FL For RespondentCs): Victor K. Rones, Esq. - North Miaiiii Beach, FL Date Filed: 05/02/'91 First Scheduled: 05/21/92 Cass Summary; Member Firm u Registered Representative, a former employee allegedly due on a promissory note issued by Clainant to Respondent

c r y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James D. KurfOss v Johnston, Lemon & Oa. Attorneys: For Claimant(s): James 0. Kurfess - /Uexaixfria, VA For Respondentts): Douglas SpauMing Esq. - Washington, DC Date Fiied: 05/02/91 First Scheduled: 12/17/91 Decided: 02/19/92 Case Summary: customer v Member Firm for alleged improper oversight of customer's accoum. Customer alleges that firm's forme

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: John Del Ponte v.Shearson Lehma'> Hutton Attorneys: For Clalnnnt(s): John Del Pome - Farmlngvills,, NY Fbr Reepondent^): Brian F. McDonough Esq. - New York. NY Date Filed- 05/26/91 First Scheduled: 11/13/91 Case Summary: Customer against Member Rrm fci alleged unauthorized trade Product: EQU Decided: 03/13/92 and faikire to execute seH order. Madcet: Ciai