New York Stock Exchange NYSE ^n the Matter of Arbitration Between Case: Bear, Stearns & Co. Inc. v. John W. Ezell Attorneys: For Clain»nl(s): Stephen T. Johnson Esq. - Dallas, TX For Respondenl(s): John W. Ezell - Irving, TX Date Filed: 07/03/1996 First Scheduled: ii/i4/i996 Decided: 11/26/96 Case Summary: claimant alleges respondent faitod to repay a promissory note and a commisston account deficit following ttie termination of his employment.

^iew York Stock Exchange In the Matter of Arbitration Between m^sE Case: Joseph Silerto v. Smith Barney Attorneys: For Clajmant(s): Joseph Silerto - Fords, NJ For Respondent(s): James Goddard Esq. - New York, NY Date Filed: 07/11/1996 First Scheduled: i2/03/i996 Decided: 12/10/1996 Case Summary: claimant, a pubhc customer, alleges respondent, a member firm, induced him into hoMIng a stock unsuitable to his investment objedives, resul

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mae K. Yoon v. Charles Schwab & Co., Inc. and David Walton Attorneys: For Claimant(s): Mae KIm Yoon - Flushing, NY For Fiespondent(s): Unda P. Drucker Esq. - San Francisco, CA Date Filed: 06/i9/i996 First Scheduled: io/30/i996 Decided: 11/25/1996 Case Summary: ctoimant, a public customer, alleges failure to disctose information contained in various account forms. Cla

New York Stock Exchange In the Matter of Arbitration Between y ^fYSE Case: Allsa B. Salvatore v SmIUi Bamey Inc. Attorneys: For ClafaTianl(s): Allsa B. Salvatore - Trenton, NJ For ftespondent(s): Barbara A. Silvan - New York, NY Date Filed: 06/24/1996 First Scheduled: ii/i3/i996 Decided: Case Summary: Claimant alleges wrongful terminatton resulting in economto loss and damage to reputation, issued a fraudulant performance appraisal resul

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert John v Smith Barney Shearson and Mtohael Krencil Attorneys: For Ctoimant(s): Robert John - New York, NY Fox Respondent(s): Ann Parry Esq. - New York, NY Date Filed: 06/i4/i996 First Scheduled: Decided: 10/02/1996 Case Summary: Claimant alleges that respondents misled him to believe he couto make a qutok profit. Claimant also alleges that respondents made a

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Behzad KholasechI vs. Charles Schwab & Co., Inc. Attorneys: For Claiinant(s): Behzad KhotosechI - Brooklyn, NY i=br Respondents): Gregory M. Scanton Esq. - San Francisco, CA Date Filed: 06/O6/1996 Case Summary: claimant alleges that his First Scheduled: 09/18/1996 Decided: 12/20/1996 margto account was improperly fiquidaled and subsequently ctosed by ttie

"^ Sf. New York Stock Exchange In the Matter of Arbitration Between NYSE Case: RonaM L. Keltor and Monireh Mahboubi-Keltor, M.D. v. Merrill Lynch Attorneys: For Ctaimanl(s): RonaM L Keller - Short Hills, NJ Fbr Respondenl(s): Howard C. Sawransky Esq. - New York, NY Date Filed: 05/20/1996 First Sctieduled: 09/18/1996 Decided: 10/17/1996 Case Summary: claimants seek recission of the purchase of FNMA notes because of Ihe firm s insi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-04159 H&R Block Financial Advisors, Inc., claimant vs. Marjaneh Rouhani and Mersedeh Uhanna, respondents. ATTORNEYS: For Claimant appeared in-house counsel, Kurt M. Miller, Esq., Detroit, MI. Respondents did not respond to the Statement of Claim. DATE FILED: August 6, 2001 CASE SUMMARY: Claimant alleged respondents received and retained a $4,995.00 overpayment which forced clai

y / New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Pamela A. Maiorana vs. MKI Securities Corp. Attorneys: For Clainianl(s): Brad S. Maistrow Esq. - New York, NY For Respondent(s): Barry Saltzman Esq. - New York, NY Date Filed: 05/2i/i996 First Scheduled: 07/22/199$ Decided: 07/22/1996 Case Summary: Registered Rep vs. Member Firm (ex-employer) alleging wrongful termination and breach of employment agreemen

1 New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v. George Sherrtor Attorneys: For Clanianl(s): Arttiur Bauim^irttier, Esq. - New York, NY For Ftospondeni(s): George Sherrier - Monldair, NJ Date Filed: 05/13/1996 First Sctieduled: lo/si/isge Decided: 12/17/1996 Case Summary: Member firm against former registered representative for breach of Rnandal Advisor n Training Agreeme