Vew York Stock Exchange In the Matter of Arbitration Between NYSE / Case: James D. Ballif v. Dean Witter ReynoMs Inc. Attorneys: For Clalrmni(s): James 0. Ballif - SpringfieM, VA Fdr Respondents): WINiam B. Peterson Esq., - New Yoric, NY Date Filed: 02/16/93 First Scheduled: 05/28/93 Decided: 06/10/93 Case Summary: Claimant claims lost earnings resulting from Respondent's failure to execute a trade. Product: EQU Market:

z' Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman Brothers Inc. v. Robert G. MacDonakI Attomeys: For Ciaimant(s): Susannah P. Scannell Esq. - Boston, MA For Reapondant(8): Curt F. Bletzer, Esq. Date Filed: 02/25/93 First Scheduled: 08/20/93 Decided: 8/20/93 Case Summary: Member Finn v. Customer - claimant alleges failure to deposit funds Into his account for equity purchases and that, due to h

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities v. John Beisner Attorneys: For Clainiant(s): Pamela Kenny Esq. - New York, NY For Respondent's): John Beisner - Garden City, NY Date Filed: 03/02/93 First Scheduled: 09/29/93 Decided: io/25«'93 Case Summary: Member firm claims registered representative defaulted in repayment of a promissory note based on his continued employment with the fir

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-04690 Joseph Richard Welsh, claimant/counterclaim respondent vs. U.S. Bancorp Piper Jaffray, respondent/counterclaim claimant. ATTORNEYS: Claimant/Counterclaim Respondent appeared pro se, Lihue, HI. For Respondent/Counterclaim Claimant appeared Mark S. Reed, Esq., in-house counsel, Minneapolis, MN. DATE FILED: September 4, 2001 CASE SUMMARY: Claimant alleged that respondent fai

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Oral & Maxillofacial Surgeons, P.C. Money Purchase Plan; Oral & Maxillofacial Surgeons, P.C. Profit Sharing Plan v. Dominick & Dominick Inc, and Nick Tinios Attorneys: For Clalmant(s): Patrick G. Finegan, Jr. Esq. - Washington, DC For Respondent(s): Stephen T. Paine Esq. - New York, NY Date Filed: 02/25/93 First Scheduled: 11/18/93 Decided: 01/12/94 Case Summary

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Edna Robinson v A.G. Edwards & Sons, Inc. Attorneys: For Claimant(s): Edna Robinson - Phillipsburg, NJ For Respondent(s): Oonald Bernstein Esq. - St. Louis, MO Date Filed: 02/12/93 First Sciieduled: 7/20/93 Decided: 7/20/93 Case Summary: Customer v member firm alleging unsuitability in securities transactions, that respondent inadequately advised her, did not consult

New York Stock Exchange In ths Kzt.t.sv of Arb^tLprat.Ion Bs'tv.'ssn ^NYSE raaa^ jjKgayenrj Lghjftgtj Ry^sthsrs u Llss QrsftCTi H/K/ft Llss Syiv'sstsT For Cl3isest(s3: Ksrer. ?.. Qouid Esq. - Blocsfisld Kills, K! For RsspandsntCs): lav.v.11 M QaMi Pen «. Mf OloMAmt MT ns^-B citari- n'J/'m/Qi P4»e4. Qr>harl>ilarl' nQ/IC/Q'! nB.«ipiofi' nQ/ic/PT Csse Sussary: Clsimnt allsgss thst pursuant to s urit sf gsmishasnt, psid s judgssrst sgsiitst Resp

u New York Stock Exdiange In tbe Matter of Arbitradon Between NYSE Case: JMIC A SoMboe V A QMy L SoMboo, Miuidueliy, and Jack Sotsfaae TTEE Soaabae Riiliremeni Tnai v Pmdentiai Saouriliae ftM. Attorneys: ForCUiiNMM: Henry Simpaoit Eiq. > Oalas, TX For RM))ondart(i;: Charles MHb Esq. - WaaMnglon, DO Date Filed: oa/ir/es First Scheduled: oaw&ss Decided: 02/11/94 Case Summaty: ClBinwnis «lege that Utnited partnerships were unsui

4ew York Stock Exchange NYSE In the Matter of Arbitration Between Case: Gruntal & Co. Inoorporalsd v. Kristi Wilbur a/k/a Kristi Wilbur Oavina Attomeys: For Clainiant(8): Richard I. uanvey, Esq. - New York, NY For Reapondani(s): Kristi Wilbur Oevine - Windham, NH Date Filed: 02/22/93 First Scheduled: 07/15/93 DecMed: 7/15/93 Case Summary: Member Finn v. Registered Representative - claimant alleges breach of employment agreement, noniiayment of promi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Frank Attardo & Constance Atlardo v. McLaughlin Piven Vogel Securities Attomeys: For Claiinant(s): Frank Attardo - Niantic, CT For Reapondanl(8): George W. Clarke Esq. - Huntington, NY Date Filed: 02/22/93 Case Summary: subsequent sale. Customer v. Member Rnn Rrst Scheduled: 08/26/93 Deckled: : 09/27/93 - claimant alleges misrepresentation regarding p