y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Louis Nkxiud Associates, Inc. v Josephthal Lyon & Ross, Inc. Attorneys: For Claimants): Clifford R. Michel Esq. - New Yoric, NY For Respondents): Robert Murphy Esq. - New Yorit, NY Da{e Filed: 11/01/1996 First Scheduled: 06/17/1997 Decided: 02/11/1998 Case Summary: Claimant, a former member firm, has alleged that respondent breached an operating agreement betwe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-04035 Terry Sader, Claimant vs. Ameritrade, Inc., Respondent. ATTORNEYS: Claimant, Terry Sader, appeared Pro Se., Pompano Beach, FL. Respondent appeared through its in-house counsel, James J. Vihstadt, Esq. Bellevue, NE. DATE FILED: July 30, 2001 CASE SUMMARY: Claimant alleged that respondent had been negligent for failing to advise him that his sell order could not be executed at

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Jeffrey R. Manning vs. Werthelm Schroder & Co.', Inc., Jeffrey M. Stambovsky, Richard S. Hunvitz and Stephen Edersheim Attomeys: For Claimant(s): Mark C. Duri< in Esq. - Greenwich. CT For Respondent(s): Ralph C. Dawson Esq. - New Yorit. NY Date Filed: 09/24/1996 First Scheduled: 01/I6/1997 Decided: 04/22/1998 Case Summary: Registered Rep vs. Member Finn (ex-empl

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Fanettl Rlndenow, Elliot Rindenowand Joshua Rindenowv Smith Bamey Inc., Kidder, Peabody & Co., PaineWebber, Inc., Jeffipey Parsons, etal Attorneys: For Claimants): Jonathan Kord Lagemann Esq. - New York, NY For Respondent(s): Victor A. Machcinski, Jr. Esq. - New York, NY David Rivera Esq. - New York, NY Oavid W. Schmidt Esq. - Kenilwotth, NJ Date Filed: 07/26/1996

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company vs. Frank J. Rosso Attorneys: For ClainiiBnt(s): Alex J. Sabo Esq. - Miami, FL For Respondant(s): Curtis Carlson Esq. - Miami, FL Decided: ^/^/i^^s Date Filed: 08/01/1996 First Scheduled: 01/07/1997 Case Summary: Member Firm vs. Registered Rep (ex-empk>yee) seeking to recover amounts allegedly due under the terms of a promissory note for the not

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Richard K. Tangel, Gerald Rubin, James Messing and Christopher Sturge v. Mabon Securities Inc. Attorneys: For Clalmant(s): Martin I. Kaminsky Esq. - New York, NY Charles Sullivan Esq. - New York, NY For Respondent(s): James Hays Esq. - New York, NY Jonathan Stoler Esq. - New York, NY Date Filed: 06/17/1996 First Scheduled: 11/19/1996 Decided: 01/30/1998 Case Summary: Cla

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Boston Tractor Co.. Inc.. Sam D. Groover, Jr., Elizabeth Wright, Harold Wright, and Lori E. Wright v Bear Steams & Co, Inc. and Thomas A. Hanks Attorneys: For Clalmant(s): J. Pat Sadler ESQ. - Adanta, GA For Respondent(s): Jeffrey W. Willis Esq. - Atlanta, GA Date Filed: 06/19/1996 First Scheduled: 05/19/1997 Decided: 0i/20/i998 Case Summary: Ciaknants allege the

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Oppenheimer& Co., Inc. v Cal Palmer Attorneys: For Claimants): Joseph F. Keenan Esq. - Garden City, NY For Respondent(s): Marc Herman Esq. - New York, NY D^te Filed: 05/10/1996 First Scheduled: 03/05/1997 Decided: 01/21/1998 Case Summary: Claimant, a member finn, has alleged that respondentbreached his agreementby failing to repay the deficit in the advance versu

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: John and Chriethe S. Fado » Pnidentiel Secucnes. Inc., Dennis Ledbeflarand Deborah Mle Attorneys: For CleiniMil(*): John Fakio - Charleston. WV For Respondenlts}: PsMda A mzpatricfc Esq. - New York. NY Date RIed: 0409/1886 First Scheduled: 10^8/1996 Decided: 09«2n998 Case Summary: Claimanis alege Ihai Respondentstreated him unliilrly during his employment wrengiuly l

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomas F. Staz v. Smith Barney, Inc. v. Michael Lissack Attorneys: For Claimant(s): Patricia Lucas, Esq. - Los Angeles, CA Shawana M. Swanson Esq. - Palo Alto, CA For Respondent(s): William L. Kandel Esq. - New Yoric, NY Ira G. Rosenstein Esq. - New Yoric, NY For 3rd Party: Jefh-ey D. Robinson Esq. Los Angeles, CA Date Filed: 04/30.'i996 First Scheduled