Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Cohen and Fido's Fences, Inc., (Claimants) vs. Weatherly Securities, Inc. and David Sulkes, (Respondents) Case Number: 01-04101 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, William Cohen ("Cohen") and Fido's Fences, Inc. ("Fido"), hereinafter collectively referred to as "Claimants": Robert M. Manners, Esq., Manners & Associates, P.C., Westbury, N

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomas S. Inman v. Smith Bamey Inc. Attorneys: For Clain«nt(s): Stephen T. Gannon Esq. - Rnhmond, VA John Halebian Esq. - New York, NY For Re8pondenl(s): Mark A. Belrack Esq. - New York, NY Claudia L. Hammerman Esq. - New York, NY Date Filed: 08/23/1995 First Scheduled: O6/10/1996 Decided: 06/11/1997 Case Summary: Claimant, a registered representative, allege

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: wheat. First Securities, Inc. v Prudential Securities, inc. Attorneys: For Clajinant(s): George Brunelle Esq. - New York, NY For Respondenl(s): Kenneth W. Gerver Esq. - New York, NY Date Filed: 08/08/1995 First Scheduled: 05/21/1996 Decided: 01/22/1997 Case Summary: claimant alleges that Respondent failed to assist in the transfer of securities to Claimant once Respo

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alex Brown & Sons vs. Rodney Balais a/k/a Joel Kamlner d/b/a/ Blue RkJge Management Attorneys: For Claimant(s): Robert E. Patterson Esq. - Baltimore, MD For Respondent(s): Harry L. German Esq. - Fairfield, NJ Date Filed: 07/31/1995 First Scheduled: 05/09/1996 Decided: 1/14/97 Case Summary: Claimant alleges breach of contract and non payment for securities purctiased,

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ann S. Howk V. Merrill Lynch Pierce Fenner & Smith Inc. Attorneys: For Clainijant(s): Steven R. Hickman Esq. - Tulsa, OK Fbr Respondents): Dekire O. Dexter Esq. - Tulsa, OK Date Filed: 07/26/1995 First Scheduled: 03/05/i996 Decided: 5-13-1996 Case Summary: claimant, an administrative assistant, alleges that the firm refused to hire her at its Tulsa branch offtee

Yoi^ 0 ^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shirley Masur v. Merrill Lynch Pierce Fenner Smith and Mnhael Carey Attorneys: For Clainmnl(s): Morgan W. Bentley Esq. - Newark, NJ For Respondeia(s): Marianne Bretton-Granatoor Esq. - New York, NY Date Filed: 07/27/1995 First Scheduled: IQ/OI/1996 Decided: 7-28-1997 Case Summary: Claimant alleges respondents induced her to sell income produc

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Neal Forman v Merrill Lynch, Pierce, Fenner & Smith, Inc. Attorneys: For Ciainnra(s): William R. Mait Esq. - New York, NY For Respondent(s): Howard G. Meyers III Esq. - New York, NY Date Filed: 07/20/1995 First Scheduled: 03/18/1997 Decided: 06/10/1997 Case Summary: Claimant alleges that Respondent paid five checks written on Claimant's account, all of whksh we

New York Stock Exchange In the Matter of Arj^itratioii Between NYSE : Tom Hough ahdOannykianhv. Miia Bnanon Atterrisys: For GhanaiHli); tofflHoug^.LindM*unt.lL MMaNaly6iq..«IMaagD.ll For Hrthanial 8, (knMt'CK). «• Naw Vwk, NY Oatt Pied: wssnm First Schedui«i;^(»Qi^996 Cese Sumnuuy: CWnwtfs aliaBO iliat raapandarv aakftl iliam le plaoo 2 ^ Product: 0«*W: j | - ^ , •o^untAlMrGliaM.. Market: NVSE

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co. Inc. v. Brian Lantero Attorneys: For Claimant(s): Richard I. Janvey Esq. - New York, NY For Respondent(s): Brian J. Lantero - Farmington, Ml Date Filed: 06/16/1995 First Scheduled: 02/08/1996 Decided: 3/7/97 Case Summary: Claimant hired Respondent and provkled him with three k>ans. The first loan, in the amount of $20,000 wouM become dua if Responde

X,.:. "sua.' New York Stock Exchange In the Matter of Arbitration Between yy NYSE Case: Charles W. Hotza v. Steven Brehmer and Dean Witter RaynoMs Inc. Attorneys: For Claimants): Arne R. Rode Esq. - Chicago, IL For Raspondent(s): Timm A. VerDuin Esq. - San Francisco, CA Date Filed: O6/09/1995 First Scheduled: 08/i3/i996 Decided: 10/20/1997 Case Summary: Former customer against member firm and registered representative for bre