New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Manzana Land & Cattle Co. Ina v. Prudential Securities. Inc., James Moeller, James Lewis. Bemanl Enright One or more John Does and One or More Jane Roes Attomeys: For Claiinant(s): Clinton W. Mans Esq. - Abuquerque.NM For Respondent(s): Neal S- Robb Esq. - Long Beach, CA Date Filed: 04/19/1996 First Scheduled: 02/04/1997 Decided: 01/15/1998 Case Summary: Customer claimant al

J^- New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kohn Investment Management, Inc., as General Partner of Kohn Investment LP-1, Kohn Investment LP-1, Evelyn Litwok, Genia Lihwok, Bronka Serebran, et. al. v. Republic New Yorit Securities Corp., Republic New Yoric Corporation, Republic Clearing Corporation, et. al. Attorneys: For Clalmant(s): Michael J. Macco - Huntington, NY Stuart A. Smith Esq. - New Yori< , NY For Respo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-04033 Florence Isa Nwosu, claimant vs. Stock USA, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Miami, FL. For Respondent appeared President & CEO, Ralph O. Mann, San Diego, CA. DATE FILED: July 30, 2001 CASE SUMMARY: Claimant alleged that respondent misrepresented facts about a day trading account. Claimant further alleged that respondent used fraudulent sales practices t

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Wail Street Access, Claimant v. Jenice Chou, Respondent Case Number: 00-01272 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Denis Kelleher, Esq. Kelleher, Leone & Schwartz LLP New York, New York For Respondent: Jenice Chou Palo Alto, California CASE INFORMATION Statement of Claim filed on or about: March 21,2000 Claimant's

New Yoric Stock Exchange In the Matter of Arbitration Between y NYSE Case: Prudential Securities Incorporated v Michael Wegman Attorneys: For Claimant(s)'. Peter Von Mauer Esq. - New York, NY For Respondent(s): Leto Copeley Esq. - Raleigh, NC D^e Filed: 03/01/1996 First Scheduled: 10/04/1996 Decided: 12/31/1997 Case Summary: Claimant alleges that Respondentflled to pay liquidated damages which were due, pursuantto his employment agre

New York Stock Exchange NYSE In the Matter of Arbitration Between CAM: Kemper Setxirrlies Inc. v. Oean WHtei ReynoUt, Inc. et al. Attorneys: For CUInMnUs). Christopher Barber Esq. - Chicago. IL For Reepondant(i}. Catherine LuddenEsq. • New Yoric, NY Date Filed 10/20/1994 Firet Scheduled: 01/15.1996 Decided: oz/OS/i 998 Case Summary: Clamant. Kenipsr Securities, aleged that oean Wtter raided four branch offices: Springrield, Decatur, Champaign and Da

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Marie Colson. Indivklually and as Executrix of the Estate of William E. Colson v. PaineWebberlncorporated and James E. Sutton, Jr. v. PaineWebber, Inc. and Marie Colson, Individually and as Executrix of the Estate of William E. Colson Attorneys: For Claimant(s): James R. Harris Esq. - Corpus Christi, TX For Respondent(s): Donakl Feferman Esq. - Corpus Christi, TX Sandra D. G

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Mark Brandin v. Quick & Reilly. Inc. Attorneys: For ClaimanKs): Jonathan P. Arfe Esq. - White Plains. NY For Respondents): G. Robert Gage Esq. - New York, NY Date Filed: 12/27/1995 First Scheduled: O6/I8/1996 Decided: 05/01/1998 Case Summary: Claimant, a registered representative and fbrmer employee, alleges wrongful termination and breach of contract against Res

\ • ^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mathls-Kelley Construction Supply Co. v. Kemper Securities, Inc., n/k/a/ Everen Securities,-Inc.; Blunt, Ellis & Loewi, Inc.; and Erik J. Anderson Attorneys: For Claimant(s): Thomas E. Davies Esq. - Morton, IL For Respondent(s): Erik J. Anderson - Peoria. IL Renan I. Sugarman Esq. - Chicago, IL Date Filed: 10/31/1995 First Scheduled: 09/18/1996

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ellse Balbonl, Mari( Begeny, James Blake, Edward R. Boschen, Donakl Carey, Craig Camarali, Anthony Carrino, Bruce Davis, Elaine Oerso, Martin Feinstein, James 0. Fort>es, Jonathan D. Goklman, Mk:hael Gomez, Todd Gomez, Tern Hartman, Joseph Huhn, Eric Jordahl, Constance Kassouf, Patrick Kaye, John Kern, Jeannine Kiely, Cari Knowlton, Susan Lang, Shelley C. Lineberger, Daniel Ludwig, John Malpied