/ lew York Stock Exchange NYSE In the Matter of Arbitration Between Case: James & Margaret Mitchell v. MerrHI Lynch Pierce Fanner & SmUh and John L. Beaudiamp Attorneys: For ClaimanKe): James & Margaret Mitchell - Birmingham, AL Fbr ReBpondent(8}: John Baauchamp - New York, NY Daniel Ddan Esq. - New York. NY Date Filed: 02/14/92 First Scheduled: 08/x^ Decided: 08/26/92 Case Summary: Customer alleges ttiat he specifically told Registered Repr

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Edward and Barbara Oaks v Sheerson Lehman Hutton, Inc. Attorneys: For Clainiant(s): Edward J. Oaks - Hendersonville, NC Fbr nespondent(s): William A. Hohauser Esq. - New York, NY Date Filed: 01/22/02 First Sciieduled: O6/I6/92 Decided: 06/i6/92 Case Summary: claimant, a customer, has alleged that respondent failed to foltow insbvctions to sell shares of Storage Techn

( c y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Unda Willls V Oean Witter Reynokls, Inc. Attorneys: For Clainfiant(s): Winifred L Biyant, Esq. - Lexington. KY For Respondents): Anita M. Britton Esq. - Lexington, KY Date Fiied: 01/27/92 First Scheduled: 07/22/92 Decided: O8/24/92 Case Summary: Claimant, a registered representative and former emptoyee, alleges sexual harassment, sex discrimination,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph R. Brokaw and Joseph R. Brokaw IRA, Claimants v. Stifel Nicolaus & Company, Inc., Respondent Case Number: 01-04788 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Joseph R. Brokaw and Joseph R. Brokaw IRA, hereinafter collectively referred to as "Claimants": Guy M. Burns, Esq. and Zachery Messa, Esq., Johnson, Blakely, Pope, Bokor, Ruppel & Burns, P.A., T

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Laura Shipley, Individually and as Trustee of the Laura Shipley Trust Case No. 00-01326 Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. David A. Cohen REPRESENTATION OF PARTIES For Laura Shipley, Individually and as Trustee of the Laura Shipley Trust, hereinafter referred to as "Claimant": Neal J. Blaher, Esq., Law Office of Neal

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Petricla Venner v. Cherles Schwab & Co. Attorneys: For Clainiant(s): Patricia Venner - New York, NY Fbr Respondent(s): Daniel Brooks Esq. - New York, NY Decided: 3| I'^l^a Date Fiied: 01/20/92 First Sctieduied: Case Summary: Claimant alleges damage from Respondent's failure to inform of possible risks when trading on margin and failure to sell stock once credit t

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomas E. and Indy G. Keefbvar vs. Merrill Lynch Pierce Fenner & Smitti, Inc. and Matthew Redding Attorneys: For Claimant(s): Cecil L. Davis Esq. - Tallahassee, FL For Respondenl(s): Mattfiew Redding - New YorK 1^ Todd A. Zuckeriirad Esq. - New York, NY Date Filed: 01/27/02 First Scheduled: 07/07/92 Decided: //AJ^L. Case Summary: customers vs. Member Rrm and

New York Stock Exchange n the Matter of Arbitration Between NYSE Case: Harry P. Brown and Hazel Brown McGuire v Fidelity Brokerage Services, Inc. Attorneys: Fbr Clainiant(s): Harry P. Brown - Birmingham, Ml Fbr Respondent(s): Jeffrey Larsen Esq. - Boston, MA Date Filed: 01/03/92 First Scheduled: Decided: 04/09/92 Case Summary: customer against Member Firm for alleged negligence in failing to call customer when It closed out position in T

New York Stock Exchange In the Matter of Arbitration Between Case: Stephen G. Beneke v Prudential Bache Securities Attorneys: For Clainiant(s): Stephen G. Beneke PA. - Clearwater, FL For Respondent(s): Kathy M. Klock Esq. - New York. NY NYSE Date Filed: 01/24/92 First Scheduled: 04/io/92 Decided: 04/10/92 Case Summary: Customer against member firm for alleged excessive co*nmissions and misappropriation of funds. Claimant not money aw

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Carole p. Kramers v. Butcher & Singer & Wheat Rrst Securities Attorneys: For Claimant(s): Harvey S. Miller Esq. - Lancaster, PA For Respondent(s): Patricia K. Epps Esq. - Richmond, VA Hill B. F/eiford - Rtohmond, VA Date Filed: 01/23/92 Case Summary: claimant alleges' First Scheduled: 06/02/92 wronghjl demotion based on sexual discrimination. Product: