New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bill D. Lane v. Piper Jaffray Attorneys: For Claimants): Bill Lane - Tacoma, WA For Respondent(s): Brian S. Hellberg Esq. - Minneapolis, MN Date Filed; 04/24/2000 First Scheduled: 06/15/2000 Decided: 08/18/2000 Case Summary; Claimant, a public customer, alleges mismanagementwith respect to the sale of shares of Sunshine Mining Corporation. Claimant seeks $3,1

ew York Stock Exchange In the Matter of Arbitration Between y^ NYSE Case: Boris Ouriicht vs. Morgan Stanley Dean Witter Attorneys: For Clalmant(s): Boris Ouriicht - Great Neck, NY For Respondent(s): Kevin Deloatch Esq. - New Yorit, NY Date Filed: 04/03/2000 First Scheduled: 07/31/2000 Decided: 11/O6/2000 Case Summary: Customer vs. Member Firm alleging his account was neglected by brokers at respondentfirm causing losses to his accoun

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Murphy & Durieu v. John J. Stagnitta Attomeys: For Claimant(s): Paul V. May Esq. - Stamford, CT For Respondents): Bruce P. Vetri Esq. - Oakdale, NY Date Filed; 04/04/2000 First Scheduled: 09/21/2000 Decided; 10/6/2000 Case Summary: Murphy & Durieu, a member fimi, hired John Stagnitta, a registered representative, to manage its new branch in Hauppauge, N.Y. Mu

11 Wall Street New Yoric, NY 10006 y^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case; Najah Jawad v Bear, Stearns & Co., Inc. and Ross Taylor Attorneys: For Claimant(s): Ralph A. Gant Esq. - New Yorit, NY For Respondent(s): Stephen Ratner Esq. - New Yorit, NY M¥Sfr New Yorit Stock Exchange. Inc. Date Filed: 02/23/2000 First Scheduled: 11/07/2000 Decided: 11/14/2000 Case Summary; Claimant, a

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Eugene Gong v. T. D. Waterhouse Attorneys; For Claimantls): Eugene Gong - Great Neck, NY For Respondent(s): Janis Campanella Esq. - New York, NY Date Filed: 03/21/2000 First Scheduled; O6/02/2000 Decided; June 6, 2000 Case Summary; Eugene Gong, a customer, alleges that T.D. Waterhouse Investor Services, Inc. (formerly Waterhouse Securities, Inc) foiled to pro

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Willard J. Evans v Men\\\ Lynch and T.D. Waterhouse Attorneys: For Claimants): Willard J. Evans - Libertyville, IL For Respondent(s): Janis Campanella Esq. - New Yori(, NY Gregory A. Wiessner Esq. - New York, NY Date Filed: 03/O6/2000 First Scheduled: 05/10/2000 Decided: 8/9/2000 Case Summary: Customer against member firms fbr failure to tender shares of YPF. Cus

y New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Joel Raskin v. Satomon Smith Bamey, Inc. Attorneys: For Clalmanl(s): William A. Jacobson Esq. - Providence, RI For Respondent(s): Maicie S. Mintz Esq. • New York, NY Date Filed: 03/16/2000 First Scheduled: 08/22aaoo Decided: 10/05/2000 .Case Summsry: Registered representative claimant alleges wrongfiji conversnn of shares of CUgroup Stock purchased through wage deducUons

New York Stock Exchange In the Matter of Arbitration Between l^' NYSE Case: Van T. Chau v. Waterhouse Securities, Inc. Attorneys: For Clalmant(s): Steven B. Caruso Esq. - New York, NY For Respondent(s): Liam O'Brien Esq. - New York, NY Date Filed: 03/08/2000 First Scheduled: 12/12/2000 Decided: 12-26-2000 Case Summary: Van Chau was a customer of Waterhosue Securities, Inc. Ms. Chau alleges that Waterhouse accepted two market orders t

Final Order NASD Dispute Resr ition In the Matter of the Arbitration Between: Carole Leiden (Claimant) vs. First London Securities Corp. and Douglas Nichols, (Respondents) Case Number: 01-04023 Hearing Site: New York, New York Claimant, Carole Leider, hereinafter referred to as "Claimant", appeared pro se. Previously represented by: Marc J. Ross, Esq., Sichenzia, Ross, Friedman & Ference LLP, New York, NY. Respondents, First London Securities Corp. ("FLSC")

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Larry Jennings vs. Quick & Reilly Attorneys; For Claimant(s): Larry Jennings- Bradenton,FL For Respondent(s): Brian McSherry Esq. - New Yori< , NY Date Filed: 03/O8/2000 First Scheduled: 07/14/2000 Decided; 07/17/2000 Case Summary: Customer v Member Firni alleging failure to fonward claimant timely Information regarding conversion/redemption of his securities resu