New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Rodman & Renshaw, Inc. v. John H. Plunkett, Jr. Attorneys: For Claimants): Timothy G. McDermott Esq. - Chicago, IL For Respondent(s): David E. Robbins Esq. - New Yorit, NY Date Filed: 08/17/1995 First Scheduled: 05/15/1996 Decided: 02/26/1998 Case Summary: Member fimn against fomner registered representative and member firm for negligence and breach of fiduciaiy duty

New York Stock Exchange In the Matter of Arbitration Between ly NYSE Case: Gruntal & Company vs. David Nichols, Joseph Safina, Jon Lerner and Michael Tannen Attorneys: For Claimant(s): Richard I. Janvey Esq. - New York, NY For Respondent(s): Evan L. Gordon Esq. - New York, NY Date Filed: 08/10/1995 First Scheduied: 04/25/1996 Decided: 05/20/1998 Case Summary: Member Firm vs. Registered Reps (ex-employees) alleging misappropriation of

New York Stock Exchange In the Matter of Arbitration Between xy NYSE Case: Bonafaclo Pinci v. Mark Meyer Attorneys: For Claimant(s): Stephen Sayer Singer Esq. - New York, NY For Respondent(s): Adam Leitman Bailey Esq. - New York, NY Date Fiied: 04/12/1995 First Scheduled: 03/25/1997 Decided: 01/30/1998 Case Summary: Claimant Bona^cio PInci brings this arbitration proceeding to recover the damages he allegedly sufiiered in his account

\^h A >r^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michael R. Lissack v Smith Bamey Inc. Attorneys: For Claimant(s): Ray Beckerman Esq. - New Yorit, NY Jeffrey D. Robinson Esq. - Washington, DC For Respondent(s): Michael Delikat Esq. - New York, NY Ira Rosenstein Esq. - New York, NY Date Filed: 02/17/1995 First Scheduled: 08/08/1995 Decided: 07/02/1998 Case Summary: Claimant, a registere

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sutro & Company Incorporated, Claimant v. Riki Roash, Respondent Case Number: 01-04032 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Clatmant/Counter-Respondent: For Respondent/Counter-Claimant: David H.S. Commins, Esq. Law Offices of David H.S. Commins San Francisco, California Mont E. Tanner, Esq. Law Offices of Mont E. Tanner Las Ve

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Shree L.L.C. and Vinod Sharma and Case Number: 04-00417 Hearing Site: Troy, Michigan Respondents Galaria Capital Management, Inc., and Charles Schwab & Co. NATURE OF DISPUTE Customer v. Non-Member and Member REPRESENTATION OF PARTIES Shree L.L.C. and Vinod Sharma ("Claimants") were represented by Vinod Sharma. Galaria Capital Management. Inc. a/k/a G

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dain Rauscher Incorporated, Claimant v. James D. Halverson, Respondent Case Number: 01-04030 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: For Respondent: Scott M. Stearns, Esq. Dorsey & Whitney LLP Minneapolis, Minnesota James D. Halverson In Pro Per Las Vegas, Nevada CASE INFORMATION Statement of Claim filed: July 26,

New York Stock Exchange in the Matter of Arbitration Between y NYSE Case: Mohammad Reza Shafizadeh v TO. Waterhouse Attorneys: For Claimarrt(s): Mohammad R. Shafizadeh - Laguna Niguel, CA Fbr Respondents): Janis Campanella Esq. - New Yorit, NY Date Filed: O8/25/2000 First Scheduled: 11/26/2000 Decided: /< ^/a//< 0^ Case Summary: Customer against member firm for negligently cashing checks. Product; Market: Claim Dat

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Peter Mancinelli, Laura Mancinelli v Prudential Securities, David Capin, Elaine Vaughn. Nick Colarosi Attorneys: For Claimant(s): Peter Mancinelli - Bloomfield, NJ For Respondent(s): Joseph Dolcimascolo Esq. - New York, NY Date Filed: O8/10/2000 First Scheduled; 09/21/2000 Decided: W/^L 00 Case Summary: Customers against member firm for overcharge of commissi

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: EkaterinaK. Levin, by her Attorney-in-Fact Alexander Levin, v. TD WaterhouseSecurities, Inc. Attorneys: For Claimantls): Alexander Levin - Staten Island. NY For Respondent(s): April M. Chung Esq. - New Yorit, NY Date Filed: 07/12/2000 First Scheduled; 10/26/2000 Decided: Case Summary: Claimant, a publk; customer, alleges Respondents, a member finn, Ikjuklated s