Order of Dismissal NASD Dispute Resolution, Inc. \ In the Matter of the Arbitration Between Name of Claimants Kim Ivan Mason and Loren Mason and 01-04501 Dallas, Texas Name of Respondents Bryan P. Bernard and Edward D. Jones & Co. REPRESENTATION OF PARTIES Kim Ivan Mason and Lorene Mason ("Claimants") represented themselves. Edward D. Jones & Co. and Bryan P. Bernard ("Respondents") were represented by Jonathan A. Pace, Esq. of P

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Everen Securities, Inc. v. Andrew Tzanides Attorneys: For Claimants): Michael A. Kraft, Esq. - Chicago, IL For Respondenl(s): Andrew Tzanides - Cressklll, NJ Date Filed: 03/13/1997 First Sctieduled: Case Summary: Member firm against former registered representative for the entry of t Product: Decided: 1 consent award. Market: 08/27/1997 Claim Data

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dickie Hill v. Edwani D. Jones & Co., Inc. Attorneys: For Claimant(s): Dickie Hill - Abilene, TX For Respondents): Hekli R. Youngs Esq. - Kansas City, MO Date Filed: 02/25/1997 First Sctieduled: 07/16/1997 Decided: Case Summary: Claimant alleges that the fimn purchased the wrong stock despite his requestfor the purchase of a Product: EQU Market: other •30

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard L. Jacoby v. Bear Stearns, Inc. and Ivan Feinseth Attorneys: For Clalmant(s): ChristopherC. Fountain Esq. - Greenwich, CT For Respondent(s): Arthur D. Felsenfeld Esq. - New Yoric, NY Date Filed: 02/26/1997 First Sctieduled: 09/16/1997 Decided: ii/ig/i997 Case Summary: Claimant alleges that the registered representative ^iled to follow his Instructions regardi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Donald Karmin v A. G. Edwards & Sons, Inc. and Martin McLaughlin Attorneys: For Claimants): Donakl Karmin - Greenvale. NY For Respondenl(s): Phyllis A. Hartrnh Esq. - St. Louis, MO Date Filed: 03/19/1997 Case Summary: claimant, a customer, wouki take as a registered representative. First Sctieduled: has aUeged that respondent Product: BONDS Decided: ^

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Principal Financial Securities Inc. v. William Slocum I Attorneys: For Claimant(s): James Ritt Esq. - Dallas. TX For Respondent(s)'. William C. Slocum III - Dallas. TX Date Filed: 03/04/1997 First Sctieduled: 07/16/1997 Decided: 12-1-1997 Case Summary: The firm alleges that the resoondent failed to repay a loan fbllowing the termination of his employment. Pro

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: M.L. Moore, Sr. v. Rauscher Pierce Refsnes Inc. Attorneys: For Clajmant(s): M.L. Moore - Ben Wheeler, TX For Respondent(s): James Ritt - Dallas, TX Date Filed: 03/03/1997 First Sctieduled: 06/10/1997 Decided: 7-5-1997 Case Summary: Customer is claiming the firm dkl not pay him all of the interest owed on a Collateralized Mortgage Obligatnn (CMO). A daim Is ma

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomas Kane vs. Quick & Reilly Attorneys: For ClaimiBnl(s): Thomas Kane - Tarpan Springs, FL Fbr Respondents): Douglas Flaherty - New Yori(, NY Date Filed: 03/13/1997 First Scheduled: 08/D5/1997 Decided: 08/05/1997 Case Summary: customer vs. Member Rrm alleging unettncal trading praolioes, misrepresenlaUons and failure to properiy carry out trading instructnns to

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Smith Bamey Inc. v. Douglas R. Leland Attorneys: For ClaJniant(s): Mark J. Ak>nso P.C. - New York, NY For Respondent(s): Mnhael E. ScuUin Esq. - Philadelphia, PA Date Filed: 03/04/i997 First Sctieduled: 07/10/1997 Decided: 10-28-1997 Case Summary: Member firm claims registered representative has failed to pay $9,000 that he agreed to pay when sponsoring a s

/ New York Stock Exchange ^n the Matter of Arbitration Between NYSE Case: Phyllis Gershon v Dean Witter Reynolds, Inc. and Howard Cole Attorneys: For daimants): Phyllis Gershon - Naw York, NY For Resporxlent(s): James D. Yellen Esq. - New York, NY Date Filed: 03/04/1997 First Sctieduled: 07/25/1997 Decided: 07/25/1997 Case Summary: Claimant alleges that Respondents failed to execute a sell transaction, misplaced slock thai was suppos