Stipulated Award NASD Dispute Resolution In the Matter of the Arbitral!on between: Names of the Claimants Antonio and Rosemarie Bouza Case Number: 01-04154 Names of the Respondents Morgan Stanley DW Inc. Morgan Stanley & Co., Incorporated JWRay Robert H. Axelrod Florence A. Sider William R. Dodson Morgan Stanley Dean Witter Co. Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member, Associated Person and

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James C. Forman v. Kidder Peabody & Co. Inc. and Donald E. Burns Attorneys: For Claimant(s): Willard M. Pottto, Jr. Esq. - Buffato, NY Fbr Respondent(s): Pamela Armstrong Esq. - New York, NY Date Filed: 11/04/1994 First Sctieduled: 08/03/1995 Decided: March 18, 1996 Case Summary: claimant purchased shares in Orbital Engine common stock In a syndicate offeri

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Piper Jaffray, Inc. v Untted Steelworker of America Local Union 2102, Tony Pacheco, Henry J. Medina and Thomas K. Kbuchnerkavtoh Attorneys: For Ctaimant(s): William D. Nelson - Denver, CO Fbr Respondent(s): Rudolph L. Milasich Jr. - Pittsburgh, PA Date Filed: 11/07/1994 First Sctieduled: 5/4/95 Decided: 3/26/96 Case Summary: claimant altoges breach of contract and fa

L^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph Pirinea and Regina Pirinea v. Fidelity Brokerage Services, Inc. Attorneys: For Ctoimant(s): Marvin Neiman Esq. - New York, NY For Ftespondent(s): Mtohael G. Shannon Esq. - New York, NY Date Filed: 10/28/1994 First Sctieduled: 04/27/1995 Decided: ro 77^ Case Summary: The claimant alleges that the member firm failed to follow telephonic Instructions w

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Brian Michael Bradtoy v J.C. Bradford & Co., LP. Attorneys: For ClainfHnt(s): Laurence J. Ztoike Esq. - Louisville, KY For Respondent(s): Ctoude Ramer Esq. - Nashville, TN Date Filed: 10/31/1994 First Sctieduled: 06/13/1995 Decided: 5-10-1996 Case Summary: claimant alleges the Respondent terminated his emptoyment in violation of the Partnership Agreement and defa

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Werthelm Schroder & Co.. Inc. and Lewco Securittos Corp v. Donald C. Adamson and Diane G. Adamson Attorneys: For Clainiant(s): James R. Holbrook Esq. - Salt Lake City. UT James Nespole - New York, NY For Respondent(s): Mtohael Bachner Esq. - New York, NY Date Filed: 10/19/1994 Case Summary: claimants their account in error. First Sctieduled: 3/7/95 Decide

New York Stock Exchange o ;; NYSE In the Matter of Arbitration Between Case: Erto Perry v. Smitti Barney Inc. and Mtohael A. Goklstein Attorneys: For Clainnnt(s): Eric Perry - Arcadia, CA Fbr Respondeni(s): Vtotor A. Machdnski Jr. Esq. - New York, NY Date Filed: 10/17/1994 First Sctieduled:08«8/i995 Decided: i l;i^ ( % C Case Summary: ctoimant alleged Mtohael GoMstein vtolated NYSE njles of non suitability of investments, misrepresentation, wittihok

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Marie B. Stoltz V Merrill Lynch, Pierce, Fenner & Smitti, Inc. Attorneys: For Clairnant(s): James L. Petersen Esq. - Indianapolis, IN For Respondent(s): Bart A. Karwath Esq. - Indianapolis, IN Date Filed: 10/03/1994 Case Summary: on a transaction. Claimant, First Sctieduled: 11/O8/1995 Decided: a registered representative, has alleged that respondent brea

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Paul R. Upps and Joseph E. Kuzmto v Prudenttol Securities, Inc., Lyman Bond, and L.H. Bond Attorneys: For Clainnnt(s): Richard E. Shevitz Esq. - Indtonapolis, IN F=or Respondent(s): Steven M. Malina Esq. - Chtoago, IL Date Filed: 10/03/1994 First Scheduled: 11/09/1995 Decided: 11/26/1996 Case Summary: claimants, customers, have alleged that respondents made misrepres

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Josephthal Lyon & Ross Inc. v Seymour Sacks Attorneys: For Claimant(s): Robert E. Murphy Esq. - New York, NY For Respondent(s): Seymour Sacks - New York, NY Date Filed: 10/03/1994 First Sctieduled: 04/25/1995 Decided: 02/26/1996 Case Summary: claimant, a member firm, has alleged that respondent breached his contract by failing to indemnify or contribute to his