New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gerald B. Oubey and Paul B. Dubey v. Fahnestock & Company Inc. Attorneys:.-. For Claimanfs): Scott J. Kramer - Philadelphia, PA For Respondenfs): James C. Ritoy - Greenwtoh, CT Date Filed: 08/26/94 First Sctieduled: 1/19/95 Decided: 5/16/95 Case Summary: Ctalmants allege failure to pay compensatton pursuant to employment agreement. Product: OTHER Market

l y >:?>v York Stock Exchange In the Matter of Arbitration Between NYSE Case: James L. Young & Lorna J. Young v Merrill Lynch Attorneys: For Ctoinwnfs): James Young - Nacogdoches. TX For Respondenfs): Christopher Cavuoti Esq. - New York, NY Date Filed: 09/12/94 First Sctieduled: 12/01/94 Oecided: 01/06/95 Case Summary: claimant alleges that he ordered respondent to buy the preferred stock of ttie Royal Bank of Scotland. There is

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: David G. Barnett and Dorothy W. Barnett v Merrill Lynch Pierce Fenner & Smtth, Inc. Attorneys: For Ctaimant's): Mr. David G. Barnett Mrs. Dorothy W. Barnett - Laketand, FL For Respondenfs): David P. Ackerman - West Palm Beach, FL Date Filed: O8/29/94 First Scheduled: 03/09/95 Decided: 06/14/95 Case Summary: ctaimant alleges mismanagement of GNMA Accounts resutting in

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Edward M. Halluska and Helen T. Halluska v A.G. Edwards & Sons, Inc. and Jeffrey Chattieid Attorneys: For Ctoimant's): Edward M. Halluska - Monroevilto, PA For Respondent's): Jeffrey Chatftoto - St. Louis, MO Jeff Jamieson Esq. - St. Louis, MO Date Fiied: O8/29/94 First Sctieduled: 05/16/95 Decided: 05/16/95 Case Summary: claimant alleges that Respondents made ba

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Albert S. Browning Jr. v John A. Kramer, Smtth Barney, Inc. and Prudential Securtties, Inc. Attorneys: For Clainianfs): Nicholas D. Thomas Esq. - Ratoigh, NC Fbr Respondenfs): Gary Klein Esq. - New York, NY Ellen Slipp Esq. - New York, NY Date Filed: 08/19/94 First Sctieduled: 03/21/95 Decided: Case Summary: claimant alleges that Respondent Kramer, whito emptoyed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Warren Albert, (Claimant) vs. Berry- Shino Securities, Inc., (Respondent) Case Number: 01-04536 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Warren Albert, hereinafter referred to as "Claimant": Neil Sussman, Esq., Sussman & Frankel, LLP, New York, NY. Respondent, Berry-Shino Securities, Inc., hereinafter referred to as "Respondent": Michael A. Finkelstei

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-01301 James R. Fiink, claimant vs. Charles Schwab & Co., Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Grand Rapids, MI. Respondent appeared through its Corporate Counsel, Sean Meehan, Esq., San Francisco, CA. DATE FILED: March 27, 2000 CASE SUMMARY: Claimant alleged respondent erroneously duplicated a trade to close out contracts for CISCO Systems creating a short in his

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Doris H. Murphrey v Gruntal & Co., Inc. and Scott Erick Janson Attorneys:., For Claiinant's): Nicholas D. Thomas Esq. - Raleigh, NC Fbr Respondenfs): Donald N. Cohen Esq. - New York, NY Date Filed: 08/22/94 First Sctieduled: 03/23/95 Decided: 03/23/95 Case Summary: Claimant alleges that Respondents churned, made unauthorized trades, purchased unsuttable securtt

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Janney Montgomery Scott, Inc. vs. John L. Augustine, Jr. Attorneys: For Clainwnfs): Elizabeth Hoop Fay Esq. - Phitadelphia, PA Fbr Respondenfs): John M. Townsend Esq. - Washington, DC Date Filed: 08/08/94 First Sctieduled: I2A)9/94 Decided: 02/22/95 Case Summary: Member Firm vs. Registered Rep (ex-employee) alleging ttwt respondent fraudently mismanaged customer

New York Stock Exchange In the Matter of Arbitration Between (y NYSE Case: Gruntal & Company, inc. vs. Jeffrey L. Stretoh Attorneys: For Ctoiniartt's): Donald N. Cohen Esq. - New York, NY For Respondanfs): Leon B. Lipkin Esq. - New York, NY Date Filed: os/i8/94 First Sctieduled: 12/15/94 Decided: 04/28/95 Case Summary: Member Firm vs. Registered Rep 'ex-emptoyee) seeking to recover amounts altogedly due under the tenns of i for t