Award NASD In the Matter of the Arbitration Between: Stanley Altaian, Claimant v. First Union Securities Financial Network, Inc., Respondent Case Number: 01-04491 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Stanley Altaian, hereinafter referred to as "Claimant": Daniel Lacesa, Esq., Law Office of Daniel Lacesa, P.A., Boca Raton, Florida. For First Union Securities Financial Network, Inc. ("FU"), hereinafter referred to as "Respon

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Chrlstel Suhr vs. J.C. Bradford & Company and George Jeffrey Edds a/k/a Jeff Edds Attorneys: For Ctolnfnnt(s): W. Andrew Clayton, Jr. Esq. - Sarasota, FL Ftor Respondent(s): Ctoude O. Ramer Esq. - Nashvllto, TN Date Filed: 12/12/1995 First Sctieduled: 03/07/i996 Decided: 11/26/1996 Case Summary: Customer vs. Member Firm and Registered Rep alteging unauthorized

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Rosalie M. Ganun vs. Merrill Lynch, Inc. and Alex DiMartini Attorneys: For Ctaimanl(s): Rosalie M. Ganun - Flushing, NY Fbr Respondenl(s): Kevin P. Kane Esq. - New York, NY Date Filed: 12/06/1995 First Sctieduled: 05/O8/1996 Decided: 05/08/1996 Case Summary: customer vs. Member Firm and Registered Representative alleging misrepresentations and failure to execut

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Amll W. Stonebrink v. Bear Steams & Company Attorneys: For Clainnnl(s): Amil W. Stonebrink - Wyckoff, NJ Fbr Respondent(s): Daniel S. Taub Esq. - New York, NY Date Filed: 11/27/1995 Case Summary: Claimant, First Sctieduled: Decided: 03/20/1996 a publto customer, aHeges unauttiorized trading and mismanagement regarding his account. Product: Market:

New York Stock Exchange In the Matter of Arbitration Between L. NYSE Case: Roben Rohde and Madalyn Rohde v. Dean Witter Reynolds Attorneys: Fbr Claiimnl(s): John H. Hanrahan, III Esq. - Ithaca, NY For Respondent(s): James E. Yelton Esq. - New York, NY Date Filed: 11/20/1995 First Sctieduled: O6/13/1996 Decided: 9-23-96 Case Summary: claimant alleges that the recommended purchase of the Krupps Government Income Trust was unsuitabl

^ ~^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sandra L. Casstoento and Ronato Casstoento v. Prudential Bache Securities Ino. and James Troy Attorneys: For Claiinant(s): Ronato Cassidento - Harwinton, CT Fbr Respondenl(s): Davto L. Gtolzer Esq. - New York, NY Kevin T. Hoffman Esq. - Greenwich, CT Date Filed: 11/16/1995 First Sctieduled: 05/09/1996 Decided: 11-22-1996 Case Summary: Claimant alleges th

A . ,ew York Stock Exciiange In the Matter of Arbitration Between NYSE Case: George E. Morris vs. Bear Stearns & Company Attorneys: For Clainianl(s): George E. Morris - OM Greenwich, CT For Respondent(s): Daniel S. Taub Esq. - New Yori(, NY Date Filed: 12/01/1995 First Sctieduled: 03/28/1996 Decided: 05/14/1996 Case Summary: customer vs. Member Firm altoging failure to properiy cancel an order execute a sato of 2,500 shares of Mtoros

y New Yorl( Stocli Excliange In the Matter of Arbitration Between NYSE Case: Nancy Abelson Knox Trust v. Swiss American Securities Attorneys: f=br Claimant(s): Bertram Brown Esq. - New Yorit, NY Fbr Re8pondent(s): CarroU D. Wetoh Esq. - New York, NY Date Filed: 11/14/1995 First Sctieduled: 05/01/1996 Decided: 7-9-1996 Case Summary: Ctoimant, a trustee, entered into a brokerage and custodian agreement wilh respondents. Ctoimant aH

flev York Slock Exchange En the Matter of Arbitratioii Between NYSE ! tWayiw and Mwy BfWnii v Marii A. ODMI WMar Raynohto, Inc PwdmU SnMtoi. ine. t V. TfDpWk Jr. BIQI — Bnoliani Fanns^ HI Olfltaay Esq, ^NawVlorii, NV lei Ouh Eiq. - Sen FmsiMP, CA I ?«• Filad: unenms I i -4 itMRamar Rrst SctMdulad: o7Jeane» Dacided: lomnoBe hr Summary: OMMMI oiigB rtapMHrtinipde Tp^ducT imde ifwJiable uowllieiliMd short tia

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Salvatore Guerrtoro and Norman D. Altman Trustees of ttie Robert Yacobellis Trust, v. Smith Barney Attorneys: For Claintenl(s): Norman D. Altman - New York, NY Salvatore Guerriero - Garden City, NY Fbr Respondenl(s): Christopher O'Malley Esq. - New York, NY Date Filed: 11/20/1995 First Scheduled: 04/23/1996 Decided: 6/25/1996 Case Summary: Claimants, public custo