New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charies I. and Susan H. Blattman vs. Antony Jackson, Morgan Stenley Dean Witter Reynolds and Jose Bohon Attomeys: For Claimant(s): Charies I. Blattman - New Yorit, NY For Respondent(s): Antony Jackson - Newport Beach, CA Curt H. Mueller Esq. - San Francisco, CA Date Filed: 12/10/1998 First Scheduled: 08/13/1999 Decided: 08/13/1999 Case Summary: Customers vs. Memb

/ Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: invin Tahler vs. Garban Corporates Attorneys: For Claimant(s): Patrick J. Dwyer Esq. - New Yori< , NY For Respondent(s): Roger C. Campbell Esq. - New Yori(, NY Date Filed: 12/10/1998 First Scheduled: 04/O6/1999 Decided: 04/06/1999 Case Summary: Registered Rep vs. Member Fimn (former employer) alleging that Respondenterroneously submitted claimante claim under

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: William Teitelbaum v. DLJdirect Inc. Attorneys: For Claimant(s): William Teitelbaum - Old Brookville, NY For Respondent(s): i\/latthew C. Plant Esq. - New York, NY Date Filed: 11/30/1998 First Scheduled: 06/15/1999 Decided: 12-29-1999 Case Summary: William Teitelbaum was a customer of DLJdirect, Inc and regulary traded securities over the Intemet Mr. Teitel

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: HD Brous & Co., Inc. and Alfred Blair Blaikie, III v Yo Ho Wang Attorneys: For Claimant(s): J.P. Wilson Esq. - Great Neck, NY For Respondent's): Yo Ho Wang - New York, NY Date Filed: 11/25/1998 First Scheduled: 07/12/1999 Decided: 08/05/1999 Case Summary: Claimants, a member finn and a registered representative, allege that respondentcommitted firaud and breached his

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: MiMred C. Bagetakos v. David S. Rodgers and Josephthal Lyon & Ross Incorporated Attorneys: For Claimant(s): Lloyd D. Fekl Esq. - Amionk, NY Benedict L. Sliney Esq. - Mineola, NY For Respondents): John Bersin Esq. - New York, NY David S. Rodgers- Hauppauge,NY DateFiled: 11/20/1998 First Scheduled: 05/11/1999 Decided: 08A)6/1999 Case Summary: Claimant, a publk

New York Stock Exchange In the Matter of Arbitration Between NYSE •«r Cese: Salomon SmiVi Bsrnsy IncL v. ManlwwT. Hattm AOomeys: Por CISiniSMts): LonainsM. Pofrigno Esq. - New Yonc NV fat RespoMlSfHtii: Msohew T. HaKoin. Kafy. IX Dste Filed: 11/17/19M Frst SchMJuled: 0802/1999 Decided: ii/3onas9 Case Summarv. Ctsinnnt, s fflsmserfim, atagcs responMnLs pubic cusiBmsrfsHSd lo pay a debitbalsnes In his margin sceountcrBsisa by an op

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph W. Zuggi v. Janney Montgomery Scott, Inc., Albert H. Wheeler, Rudolph C. Sander and Will S. Tickner Attomeys: For Claimants): Jonathan H. Colman Esq. - Paoli, PA For Respondent(s): Paula D. Shaffner Esq. - Philadelphia, PA Date Filed: 11/10/1998 First Scheduled: 07/21/1999 Decided: ///y^/^ Case Summary: Joseph Zuggi was a customer of Janney Montgomery Scot

NASD DISPUTE RESOLUTION FINAL ORDER NASD DISPUTE RESOLUTION. INC. CASE: 01-03995 Dr. Ghavam G. Shahidi, claimant vs. Kirlin Securities, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Elmsford, NY. For Respondent appeared in-house counsel, Theodore J. Dragon, Esq., Syosset, NY. DATE FILED: July 27, 2001 CASE SUMMARY: Claimant alleged that respondent failed to execute a sell order of Budget Group, Inc. (BD) as requested. Claimant maintained th

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Salomon Smith Bamey vs. Charalambos Charalambous Attorneys: For Claimants): Lorraine M. Ferrigno Esq. - New York, NY For Respondent(s): Charalambos Charalambous- Central Islip, NY Date Filed: 10/05/1998 First Scheduled: 05/26/1999 Decided: 05/26/1999 Case Summary: Claimant, a member firm, alleges Respondent, a publk: customer, failed to pay a promissory note th

lew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Donakl W. Mercurio v Lehman Brothers, Inc. Attorneys: For Claimant(s): DonaM W. Mercurio - Forest Hills, NY For Respondent(s): Theodore A. Krebsbach Esq. - New York, NY Date Filed: 10/26/1998 First Scheduled: 03/18/1999 Decided: u \. I q C Case Summary: Former registered representative for damages inflicted allegedly caused by wrongful and malicious prosecution, frau