New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Anthony J. Natale v. Muriel Siebert & Company Inc. Attorneys: For Claimant(s): Anthony J. Natale - Liverpool, NY For Respondent(s): Kevin Kelly Esq. - New York, NY Dstfe Filed: 10/20/1997 First Scheduled: 01/27/1998 Decided: Case Summary: Claimant alleges that the fimn mismanaged his account when it advised him certain options v Product: OPT IVIarket: 1-

New York Stock Exchange In tbe Matter of Arbitration Between NYSE Case: BharatiA. Stiah v. Pacific Brokerage Senrioes Attorneys: For Clabmnl(s): Bharati A. Sh«h' Burr Ridge. IL For Rwpoii(fani(a). James R. KrugarEsq, - Beverly Hilii, CA Date Filed: lorae/iM? First Scheduled: Decided: May 7, 1998 Case Summary: CustDmer against memberllrm for feiiurs w execute order. Product: OPT Mlarket: Claim Data Claim: Uns Punitive

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-04057 Sally K. Brigham, claimant vs. First Union Securities, Inc., and Lawrence C. Miller, respondents. ATTORNEYS: For Claimant appeared Andrew Wecker, Esq., Columbus, OH. For Respondents appeared Joseph S. Simms, Esq., of Ulmer & Berne LLP, Cleveland, OH. DATE FILED: July 31, 2001 CASE SUMMARY: Claimant alleged that respondents were negligent in providing claimant with a margi

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Occupational Orthopaedics & Spinal Clinic and 00-01275 Dallas, Texas Name of Respondent TD Waterhouse Investor Services, Inc. REPRESENTATION OF PARTIES Occupational Orthopaedics & Spinal Clinic ("Claimant") was represented by Roland K. Johnson, Esq., Harris, Finley & Bogle, located in Fort Worth, Texas. TD Waterhouse Investor Services, Inc. ("Re

("' New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gerard G. Figari v. Prudential Securities Incorporated Attorneys: For Clalmant(s): John C. Kelly Esq. - West Palm Beach, FL For Respondent(s): Bradford D. Kaufman Esq. - W. Palm Beach, FL Date Filed: 10/23/1997 First Scheduled: 03/03/1998 Decided: 5/20/98 Case Summary: Registered representetive claimant alleges wrongful termination, defamation, tortious Inter

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v. George Spivak Attomeys: For ClaimantCs): Bruce J. Kahne Esq. - New Yoric, NY For Respondent(s): Jeffrey D. Fisher Esq. - West Palm Beach, FL Date Filed: 10/23/1997 First Scheduled: 04/07/1998 Decided: 4/7/98 Case Summary: Member finn claimant alleges breach of employment agreementand non-paymentof promissory note. Product

ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles J. Elbourne, Edda M. Elboumeand Kenneth P. Elbourne v Dean Witter Reynolds, Inc. and Phillip Winfrey Key Attorneys: For Claimant(s): Nicholas D. Thomas Esq. - Raleigh, NC For Respondent(s): Phillip Winfrey Key - High Point, NC James D. Yellen Esq. - New Yoric, NY Date Filed: 10/23/1997 First Scheduled: 04/14/1998 Decided: 04/30/1998 Case Summary: Non membe

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Louis Scharf and Margaret Scharf (Trustees of the Louis and argaret Scharf Living Tmst) v. Smith Bamey Inc. Attomeys: For Claimant(s): Adam S. Doner Esq. - West Palm Beach, FL For Respondent(s): Nicole L. Felton Esq. - New Yoric, NY Date Filed: 10/13/1997 First Scheduled: 03/06/1998 Decided: 03/14/1998 Case Summary: Claimante, public customers, allege breach of fiduc

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dr. Nlkos M. Spanakosv Fidelity Investmente Attomeys: For Claimant(s): Nikos M. Spanakos- Brooklyn Heighte, NY For Respondent(s): William J. Metcalf Esq. - Morristown, NJ Dqte Filed: 10/14/1997 First Scheduled: 01/21/1998 Decided: 2-2-1998 Case Summary: Claimant alleges that misrepresentations were made in connection with the date income wouki be paki on an annui

'^ ^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Wlllard and Diana Isaacs vs. Smith Bamey, Inc. Attorneys: For Claimants): Adam S. Doner Esq. - West Palm Beach, FL For Respondent(s): Nicole L. Felton Esq. - New Yoric, NY Date Filed: 10/13/1997 First Scheduled: 02/11/1997 Decided: 03/16/1998 Case Summary: Customers vs. Member Firm alleging unsuiteble investmente in limited partnerships, firaud and misre