New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John Kautz v Prudential Securities, Inc. Attorneys: For Ckiimant(s): Morgan W. Bentley Esq. Newark, NJ For Respondent(s): James M. Bergen Esq. - New York, NY Date Filed: 05/24/1995 First Scheduled: 11/13/1996 Decided: 10/15/1997 Case Summary: claimants, brokers, have alleged that they were constructively terminated as a result of respondents In selling limited pa

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Bruce P. Colliander V. 01-04093 Minneapolis, Minnesota Respondent Merrill Lynch, Pierce, Fenner & Smith, Incorporated REPRESENTATION OF PARTIES Bruce P. Colliander ("Claimant") was represented by Daniel D. Hill, Esq., Maple Grove, Minnesota. Merrill Lynch, Pierce, Fenner & Smith, Incorporated ("Merrill Lynch") was represented by James K. Langdon n, Esq., of D

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dain Bosworth Inc. v. Alon Touti Attorneys: For Ctainiant(s): Mitchell J. Stainberger Esq. - Costa Mesa, CA For RespondBnl(s): Ak>n Tout! - Las Vegas, NV Alon Touti - Las Vegas, NV Date Filed: 05/22/1995 First Sclieduled: O2A)7/1996 Decided: 7/22/1997 Case Summary: Claimant, a member firm, alleges respondent, a registered representative and former employee, f

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gloria Bou Kelly v. Merrill Lynch Pierce Fenner Smith, Wayne F. Nelson and Nancy Skonberg Attorneys: For Claintant(s): Adam M. Bond Esq. - New York, NY For Respondent(s): DavkJ M. Schnorrenberg Esq. - Washington, DC Date Filed: 05/10/1995 First Scheduled: 04/i6/i996 Decided: 04/25/1997 Case Summary: Claimant alleges the respondents disregarded her stated investment o

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Franck J. Prissert v. Brown Brothers Harriman & Co. Attorneys: For Claimants): David B Wechsler Esq & Leonard B Pack Esq. - New York. NY Franck Prissert - San Francisco, CA For Respondents): Lori Bienstock, Esq & Andrea Christensen. Esq - New York, NY Date Filed: 04/14/1995 First Scheduled: 04/i2/i996 Decided: 11/10/1997 Case Summary: Former registered representa

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kemper Clearing Corp. v. AT. Brod & Company Inc., Jugal K Taneja and Arthur M Stupay Attorneys: For Claimants): Henry F. MInnerop Esq. - New York, NY Fbr Respondents): Michael T. Honohan Esq. - Ctevetend, OH Dean M. Rooney Esq. - Painesvilte, OH Stephen Topetzes Esq. - Washington, DC Date Filed: 04/26/1995 First Scheduled: 11/07/1995 Decided: 3/24/97 Case Sum

i) / y' New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lulsa ^k)emi Vigoa, also known as Luisa N. Gonzalez, Individually and as Former Guardian of ttw property of Richard Vigoa, Etaalwtti VIgoa and K/largaret Vigoa, and Richard Vigoa, Elizabetti Vigoa, and Margaret Vigoa, Indivklually vs. kterrilt Lyndi, Pierce, Fenner a Smitti, Inc, and Marion C. Brawley, III Attorneys: ForClafcnanl(8): Robert Oyer Bq. - Orlando, FL

New York Stock ExdiaiiBe ID tiw Matter of ArbitnrtioB Between NYSE Caar Man J. BoisiBy OanM Batata. Ulan apina, JDa«|«i a anmrl Ct« M. atami, Saidhi L M ^ ^ IMw and MHBUMtii A KMNor v RiidMM SiMJrtlaa Anomaya: 4 ParOalMMM: ^ I P. MUOphy ER|, • OalRil; M llaaifi.nDbbe^.-LDno CA Oai»FiM:o4myi«as Rrst QctwduM: tonr/tMS Daddad: Qswiw/ Caw Summary: CMWBitiyaBaftatnwponiiirtiwidulMii^fmliMMaaii^ andfieMiinMbeil. Produot

New York Stock Exchange In the Matter of Arbitration Between y^ NYSE Case: /\nthony Savage v. PaineWebber Incorporated, Mark Rockey and Rtehard Schultz Attorneys: For Cteinrant(s): Christopher K.H. Dressier Esq. - Albany, NY For Respondent(s): Mark S. Mancher Esq. - New York, NY Date Filed: 03/14/1995 First Scheduled: 02/20/1996 Decided: 03/i3/i996 Case Summary: claimant, a registered representative and former employee, alleges wrong

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: /Vdvest, inc V stifel Nicolaus & Co., Inc.. William Woolsey and Steven Krebs Attorneys: For Cteimant(s): Sherri C. Strand Esq. - St. Louis, MO Fbr Respondent(s): B. Michelle Ward Esq. - St. Louis, MO Jeffrey J. Kalinoski Esq - St. Louis, Mo. Date Filed: 02/23/1995 First Scheduled: 11/12/1996 Decided: 04/17/1997 Case Summary: Claimant alleges respondents removed c