New York Stock Exchange In the Matter of Arbitration Between ly NYSE Case: Danny T. Hogan vs. Merrill Lynch Attorneys: For Claimant(s): Daniel T. Hogan - Port St. Lucie, FL For Respondent(s): Michael G. Constantine Esq. - New York, NY Date Filed: 06/18/1999 First Scheduled: 12/16/1999 Decided: 04/i 8/2000 Case Summary: Customervs. Member Finn alleging failure to follow instructions to sell all of Claimant's Federal Express stock in h

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Everen Securities Inc. v. James L. Lucero Attorneys: For Clalmant(s): Kenneth F. Berg - Chicago, IL For Respondent(s): James L. Lucero - Sierra Madre, CA Date Filed: 06/23/1999 First Scheduled: 12/07/1999 Decided: 02/24/2000 Case Summary: Claimant, a memberfirm, alleges Respondent, a public customer, acted in bad faith, breached a contract and violated Califomia

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: David Crisanti v Credit Suisse First Boston Corporation Attorneys: For Claimant(s): David Wechsler Esq. - New York, NY For Respondent(s): Michael J. Dell Esq. - New York, NY Date Filed: 06/03/1999 First Scheduled: 08/i7/i999 Decided: 6/16/2000 Case Summary: Registered representative against member firm for unpaid bonus. Respondentalleged counterclaims for b

New York Stock Exchange In the Matter of Arbitration Between Vy NYSE Case: Jerome Bresson & Alan Bresson v. Janney Montgomery Scott Attorneys: For Claimant(s): Jerome Bresson - Nartierth, PA For Respondent(s): Joseph J. Dougherty Esq. - West Chester, PA Date Filed: 06/01/1999 First Scheduled: 09/30/1999 Decided: /< f//^/^^ Case Summary: Jerome Bresson and Alan Bresson purchased Series F Convertible Prefened Shares pursuantto a Pri

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Steto Vrancich v. Victor J. Rosati and Merrill Lynch Pierce Fenner Smith Inc. Attorneys: For Claimant(s): David Robbins Esq. - New York, NY For Respondent(s): Kevin T. Duffy Esq. - New York, NY Date Filed: 05/i 3/1999 First Scheduied: 10/19/1999 Decided: 3/30/2000 Case Summary: Stelio Vrancich a customer of Merrill Lynch alleges that his stock broker Victor Rosat

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants Case. Number! 01-04004 Murray J. Fox and Harriet Fox, JTWROS, Murray J. Fox, IRA, Harriet Fox, IRA, Elizabeth Loeffler Fox, Ira M. Fox and Elizabeth Loeffler Fox, JTWROS Name nf the Respondents T : fparin£ Site- Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith James H. Graham, Jr. Nature of the Dispute: Customers v. Member f

New York Stock Exchange \n the Matter of Arbitration Between NYSE Case: Noah Sotomon v Lehman Brothers, Inc. Attorneys: For Ciaimant(s): Jacob H. Zamansky Esq. - New York, NY For Respondent(s): Kevin Leblang Esq. - New York, NY WilKam Oishan Esq. - New York, NY Date Filed: 05/25/1999 First Scheduled: 10/26/1999 Decided: 03/oi/20oo Case Summary: Non-member against member finn fbr defamation, bonus, back pay, front pay In connection wi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Elaine Miller v. Quick & Reilly Inc. Attorneys: For Claimant(s): Richard Boydston Esq. - Cincinnati, OH For Respondent(s): Bennett Falk Esq. - Miami, FL Date Filed: 05/18/1999 Case Summary: Elaine Miller, from her account. First Scheduled: 10/14/1999 Decided March 27 2000 a public customer, alleges that Quick & Reilly permitted her former hust>andto make an unaut

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ravinder Sawhney v. Todd Ellis and Morgan Stanley Dean Witter Attorneys: For Claimant(s): DavW E. Robbins Esq. - New York. NY For Respondent(s): James D. Yellen Esq. - New York, NY Date Filed: 05/13/1999 First Scheduled: 10/13/1999 Decided: 03/31/2000 Case Summary: Claimant, a public customer, alleges failure to execute two orders regarding shares In AOL and Chase Ma

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph Jaghab and Alison Jaghab v. Charles Schwab & Company Inc. Attorneys: For Clalmant(s): Steven B. Caruso Esq. - New York, NY For Respondent(s): Daniel J. Brooks Esq. - New York, NY Date Filed: 04/22/1999 First Scheduled: 09/14/1999 Decided: January 31, 2000 Case Summary: Claimants, public customers, allege violations of Sections 10(b) and 10 (b)-5 of the Securit