Award NASD Dispute Resolution In the Matter of the Arbitration Between: p of thr Plfnmant Case Number- 0 1 -0403 6 Dixie Rottler of |hp RespnnHpnts HearjflQ Si fp ' Dallas, Texas Sands Brothers & Co., LTD; and Craig A. Statler OF PABTTF.S Claimant Dixie Rottler ("Rottler") was represented by Charles M. Hamilton, Esq. of the firm of French & Hamilton, located in Dallas, Texas. Respondents Sands Brothers & Co., LTD ("Sands Brothers") a

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Keith Blerman v. Maurice Acriche, Paul Becker, Robb, Peck. McCooey Financial Sen/ice Inc., and Robb, Peck McCooey Clearing Corp. Attorneys: For Claimant(s): Gary Klein Esq. - New Yori(. NY For Respondent(s): George Brunelle Esq. - New Yori(, NY Date Filed: 0i/i6/i997 First Scheduled: 08/05/1997 Decided: 3/4/1998 Case Summary: Customer against member firm, registered

New York Stock Exchange In the Matter of Arbitration Between t^' NYSE Case: Pmdential Securities Incorporated v. Alflred W. Hall, Jr. Attomeys: For Claimants): David L. Glotzer Esq. - New Yori< , NY For Respondent(s): Ralph A. Gant Esq. - New Yorit, NY Date Filed: 01/09/1997 First Scheduled: 05/25/1997 Decided: 0i/i3/i998 Case Summary: Member firm against fonner registered representative tor balance due on a promissory note - $28,820.

\ew York Stock Exchange in the Matter of Arbitration Between NYSE Case: Smith Bamey v. Kevin B. Gabbert Attomeys: For Claimant(s): Michael Braunstein Esq. - New Yorit, NY For Respondent(s): Kevin O'ShaughnessyEsq. - Spokane, WA Date Filed: 12/26/1996 First Scheduled: 09/17/1997 Decided: 12/10/1998 Case Summary: Claimant, a member finn. alleges breachof contract with respect to the tenns of a promissory note. Claimant seeks the balance

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: William E. Ehling v. Morgan Stantey & Co. Inc. Attorneys: For Claimants): Davkl B. Wechsler Esq. - New York, NY For Respondents): Seamus Tuohey Esq. - New Yorit, NY Date Filed: 01/O8/1997 First Scheduled: 07/30/1997 Case Summary: Claimant alleges that the finn breached an employment agreementand was compensation fbr 1994 and by failing to pay him a bonus in 1995.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Anne Brabner-Smith, Daniela Brabner-Smith and the Daniela Brabner-Smith Revocable Living Trust v. Fklelity Brokerage Seivioes, Inc. Attomeys: For Claimant(s): George Brunelte Esq. • New Yoric, NY For Respondent(s): DavkJ J. Gelten Esq. - Atlanta, GA Michael Wolensky, Esq. - Atlanta, Ga. Date Filed: 12A}6/1996 First Scheduled: 07/24/1997 Decided. '^/16/1998 Case S

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Pmdential Securities Incorporated v. Glenn P. Kemweiss Attomeys: For Claimant(s): Karen A. GouM Esq. - BtoomfieM HHIs, Ml For RespondenKs): Arthur A. Graves. Ill Esq. - Newport Beach, CA Timothy J. Salyer Esq. - In/ine. CA Date Filed: 12/30/1996 Rrst Sdieduled: 07/22/1997 Decided: //-m-f^ Case Summary: Memberfirm claimant alleges breach of empkiyment agreemen

^^ew York Stock Exchange in the Matter of Arbitration Between NYSE Case: Oppenheimer& Co. v Promocun, et al Attorneys: For Claimant(s): Miranda S. Schiller Esq. - New Yoric, NY For Respondent(s): General Counsel - Mexico, Paul D. Friedland Esq. - New Yoric, NY Paul D. Friedland Esq. - New Yoric, NY Rtohard Saucedo- Mexico, Date Filed: 12/02/1996 First Scheduled: 11/11/1997 Decided: 08/10/1998 Case Summary: Claimant, a member

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kidder Peabody & Company Incorporated v. Teny Malloy Attomeys: For Clalmant(s): John H. Jamnback Esq. - Washington, DC For Respondent(s): Terry Malloy - Laguna Beach, CA Date Filed: 12/13/1996 First Sclieduled: 08/20/1997 Decided: 03/26/1998 Case Summary: Claimant alleges breach of contract with respect to a promissory note. Claimant seeks the balance due plus intere

New York Stock Exchange In the Matter of Arbitratscn Between NYSE Case: Eveien Scoinuae hw. v. A.O. Edwards & Sons Ina. Sidney CariMm. Loran D. Wrtgm Attorneys: For CiaknaitttaK Nancy Hendriekaen Esq. - Chisago, iL For fteapondemie): Nonnan S. Budnar, Eaq. - SL Louis. MO Nicholaa P. lavarane Esq. - Chicago, IL Date FHad: i2A)Sri09s Firal Scheduled. ii/t«i«97 Decided: i;>M 1^ r Case Summary: MambeifimiSy&ii-irffaiiiMiegisieicd