New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dominick & Dominick, Incorporated v Michael Schnurr Attorneys: For Ciainiant(s): Robert C. Harrison Esq. - New York, NY For Respondent(s): Mnhael Schnurr - Brooklyn, NY Date Filed: 01/14/02 First Scheduled: 07/17/92 Decided: 07/29/92 Case Summary: Member firm against Customer for alleged manipulation of customer's account. Claimant seeks the difference between the co

New York Stock Exchange In the Matter of Arbitration Between NYSE- Case: Frances G. Feinberg v Oppenheimer & Co., Inc and Edward Chervin Attorneys: For Clainiant(s): Frances G. Feinberg - Pttsfieki, VT Fbr Re8pondent(8): Joseph Pnkard Esq. - New York, NY Date Filed: 01/15/92 First Scheduled: 07/14/92 Decided: 07/14/92 Case Summary: claimant alleges Respondents mismanaged her account and purchased unsuitable securities. Product: I

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: J.J. B. Hilliard, W.L Lyons, Inc. V Kolleen Potter Attorneys: For Clainiiant(s): Cheryl U. Lewis Esq. - Lexington,, KT Fbr Respondent(s): William Alien - Lexington, KT Kolleen Potter - Lexington,, KT Date Filed: 01/13/92 Case Summary: Claimant, First Scheduled: 01/21/92 Decided a member firm has alleged ttiat respondent breached her employment contract Pr

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman Bros. vs. Emerald Capital Management, Gallery Partners, RCM Partners, Southport Capital, Spier Management and Burgess Capital Money Management Attorneys: For ClainMnl(e): Jamee T. Meyer Esq. - New York, NY Fbr Retpondanl(s): Fioger Webb - Nonvatk, CT Roger Webb - Noroton, CT Date Filed: oi/08«2 First Scheduled: O6/11/92 Deckled: 06/II/Q2

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Donaki R. Nordt v Fklelity Brokerage Services, Inc. Attorneys: For Claimanl(s): Donald R. Nordt - Miller Place, NY For Respondent(s): Jeffrey R. Larsen Esq. - Boston, MA Date Filed: 01/02/92 First Sctieduied: 03/12/91 Decided: 03/12/92 Case Summary: claimant, a customer, has alleged that respondent refused a trade in American Home Product because no option agreement

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS/Paine Webber, Inc., (Claimant) vs. Singh P. Sabharwal, (Respondent) Case Number: 01-04786 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, UBS/Paine Webber, Inc., hereinafter referred to as "Claimant": Lisa A, Catalano, Esq., Davidson, Manchel & Brennan, LLP, Northvale, NJ. Respondent, Singh P. Sabharwal, hereinafter referred to as "Respondent", did not make

NEW YORK STOCK EXCHANGE In the Matter of Arbitration Between Case: Keith French and James H. "Don" Ragar v. Dean Witter Reynolds Attorneys: For Claimantfs): Tom Prince, Esq. - Little Rock, AR For RespondentCs): William H. Sutton, Esq. - Little Rock, AR Date Filed: 12/06/91 First Scheduled: 04/a4/ga-Declded: 05/07/92 Case Summary: Registered Representatives v. Member Firm for respondents alleged fraudulent inducement to leave his prior employ

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Haroki M. Dodd v Dean Witter ReynoMs. Inc. and Charles Stanback Attorneys: For Clainiant(s): Haroki M. Dodd - Mobile. AL For Re8pondenl(s): Melinda S. Herbst Esq. - New York. NY Date Filed: 01/07/92 First Scheduled: 03/11/92 Decided: 07/07/92 Case Summary: Customer against Member Firm and Registered Representative for alleged churning. Product: OPT llar

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Anne Griffin vs. Mabon Securities Corp. and Jeffrey A. Polk>ck Attorneys: For Claimant(s): Dan Brecher Esq. - New York. NY For Respondent(s): Robert M. Buschmann Esq. - New York. NY Date Filed: 01/O6/92 First Scheduled: 05/13/92 Decided: 10/08/92 Case Summary: Registered Rep (ex-empk>yee) vs. Member Firm alleging faikire to tu(n qver 23,333.3 warrants to Claimant as

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Ned Karren v Oppenheimer & Co. Inc. Attorneys: For Clainnnt(s): Ned Karren Esq. - Seattle., WA Fbr Re8pondent(s): John T. McGuire Esq. - New York. NY Date Filed: 11/11/91 First Scheduled: 05/01/92 Case Summary: Claimant alleges that respondent failed to execute a stop order Product: COMMOD Decided: os/is/92 as requested at 174.95 on NYFE contracL i\^arket