New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alpha Securities v Nero Seourittos Attorneys: For Claiimnqs): Dan Pecoraro - San PrancisGo, CA Fer Fto6pondonl(s): Howard Rosen Esq, - New York, NY Date Filed: 07.'28/t996 Case Summary: respondem. First Scheduled: oi./Bs/igge Decided: 01/25/1996 Claimant, a non-member firm, has alleged that respondent has failed to pay for orders It executed on the PSE Pr

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Eduardo Mizrahl and Shamiz. S.A vs. Smith Barney. Inc.. Roberto de la Guardia and Raul de la Guardia Attorneys: Ftor Ctaimant(s): Neal J. Hunwitz Esq. - New York, NY For Respondenl(s). Alejandro Schwed Esq. - New York, NY Date Filed: 08/21/1995 First Sctieduled: 12/20/1995 Decided: 06/21/1996 Case Summary: Customers vs. Member Firm and Registered Reps alleging unauth

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v. Anthony Marrocco Attorneys: Ftor Clainianl(s): Arthur Baumgartner, Esq. - New York, NY Fbr Respondent(s): M. David Hyman Esq. - Ho-Ho-Kus, NJ Date Filed: 08/15/1995 First Sctieduled: 12/12/1995 Decided: 06/03/1996 Case Summary: Member tirm against former registered representative for vtototion of Financial /Advisor In Train

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: John Cavanagh v. PaineWebber Incorporated Attorneys: For CtainnntCs): /Uidrew O'Connor Esq. - New York, NY For Respondents): Frederto L Ltoberman Esq. - New York, NY Date Filed: 08/09/1995 First Sctieduled: 02/O6/1996 Decided: 08/20/1996 Case Summary: claimant alleges that ttie firm tenninated him and faitod to pay him earned Incentive compensation due at Ihe d

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kidder, Peabody & Co. Inc. v James M. Johnson Attorneys: For Claimants): Robert A.W. Boraks Esq. - Washington, DC F=br Ftespondent(s): James M. Johnson - St. Louis, MO Date Filed: os/i4/1995 Case Summary: Ctoimant, First Sctieduled: 03/19/1995 a member tirm, has alleged that respondent failed to Product: repay Decided: the balance due on a Mar

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mark J. Muller Equities, Inc. vs. Gerard de la Riviere and Societe Generale Securities Corp. Attorneys: For Claimant(s): Davto E. Robbins Esq. - New York, NY For Respondent(s): Curtis E. Pew Esq. - New York, NY Date Filed: 08/25/95 First Sctieduled: 12/11/95 Decided: 01/05/96 Case Summary: Member Firm vs. Member & Member Firm alleging breach of an NYSE Floor Lease Agreement.

New York Stock Exchange f n the Matter of Arbitration Between NYSE Case: Chartott* llolmes v Oldo Discount Corporation d/b/n CUde Discount .Stockbrokers Attorneys: For Claimiuil(s): J. Joromn HartzeH Esq. Fialuigh, NC For ReapondRnl(s)' Ina N. ORo ksq. - Detroit. Ml Date Filed: os/io/isss First Sctieduled: 05ro9/i996 Decided: o^e/ieee Case Summary: Ckumanl allegos that Riaipundoiit frauduluraly inducod her into buying unsusoblo socurltto

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-04474 Ronald W. Nichols, Claimant vs. Scottrade, Respondent. ATTORNEYS: Claimant, Ronald W. Nichols, appeared Pro Se, Colorado Springs, Colorado. Respondent, Scottrade Inc., appeared through its in-house counsel, Christopher Meitz, St. Louis, Missouri. DATE FILED: August 21, 2001 CASE SUMMARY: Claimant alleged that respondent was negligent in informing him of a stock split and

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alfred D. Marten (Mirta G. Marten for him as Power of /Vttomey & Wife) vs. Dean Witter Reynolds, Inc. Attorneys: For ClaJmant(s): Mirta G. Marten - Jamaica Estates, NY Fbr ftospondent(s): Paul Thomas Esq. - New York, NY Date Filed: 08/14/1995 First Sctieduled: 12/19/1995 Decided: 02/23/1996 Case Summary: Customer vs. Member Firm alleging negligence and mismanagement

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: David E. Winter v Smith Barney Shearson, Inc. and John Grotta Attorneys: For Claimant(s): David E. Winter - East Brunswick, NJ For Respondent(s): Linda R. Alpert Esq. - New York, NY Date Fiied: 08/14/1995 First Sctieduled: 02/21/1996 Decided: 02/21/1996 Case Summary: Claimant altoges that Respondents purchased the wrong options for Claimants account and then faitod t