New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Brenda Beacher vs. Smtth Bamey, Inc. a/k/a Salomon Smtth Bamey and /Man J. Feklman Attorneys: For Claimants): Stephen D. Haber Esq. - Ganjen City, NY For Respondents): Joanne Chormanski Esq. - New York, NY Date Filed: 06/oi/i998 First Scheduled: 10/15/1998 Decided: O8/I8/1999 Case Summary: Customervs. Member Fimn and Registered Rep alleging unsuttable investmen

ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v. Gregg C. Josey yvttorneys: For Claimantls): Bruce J. Kahns Esq. - New York, NY For Raspondent(s): Philip Carlton Esq. - Miami, FL Date Filed: 05/14/1998 First Scheduled: 10/14/1998 Oecided: 4/13/1999 Case Summary: Meml>erlirm claimant alleges breach of emptoyment agreementand nonpaymentof promissory note. Product PROMISSORY NO

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v. John Meehan Attorneys: For Ciaimant(s): David L. Gtotzer Esq. - New York, NY For Respondent(5): Gregory T. Magarity Esq. - Philadelphia, PA Date Filed: 05/06/1998 First Scheduled: 10/14/1998 Oecided: May 13, 1999 Case Summary: Prudential Securtties alleges that John Meehan, a former registered representative, owes the bal

y^ New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Richard W. Morsilli v. Snnith Bamey Ina Attomeys: For Claiinant(s): William A. Jacobson Esq. - Provklence, RI For Respondents): * Joan Ho'va Nicholson - New York. NY Eric J. Wallach Date Filed: 05A)5/i998 First Scheduled: 1009/1998 '^^(^('^d-August 24, 1999 Case Summary: Registered representative claimant alleges wrongful temiination based on bise accusatnns of incomp

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: George Teichner and Ingrid Teichner, (Claimants) vs. PaineWebber, Incorporated, Mary Ellen Kay and John Decker, (Respondents) Case Number: 01-03968 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants George Teichner and Ingrid Teichner, hereinafter collectively referred to as "Claimants": Jay D. Fischer, Esq. and Edward Mazlish, Esq., Fischer, Porter, Ca

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01268 Howard Jones and Petra Arndt Jones, claimant vs. Smith Barney, Harris, Upham & Co. Inc., respondent. ATTORNEYS: For claimants, Howard Jones and Petra Arndt Jones appeared, J.B. Grossman, Esq., Ft. Lauderdale, FL For respondent, Smith Barney, Harris, Upham & Co. Inc. appeared, in house counsel, Alejandro Schwed, Esq., New York, NY DATE FILED: March 23, 2000 CASE SUMMAR

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Beverly J. Weiman and Carl Weiman v O.H. Blair & Company, Inc. and Richard Molinsky Attorneys: For Claimant(s): Delmer C. Gowing III P.A. - Delray Beach, FL For Respondent(s): John T. McGuire Esq. - New York, NY Date Filed: 04/14/1998 First Scheduled: 10/20/1998 Decided: 11/10/1999 Case Summary: Beverly Weiman and Carl Weiman were customers of D.H. Blair & Co. and tt

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: First Riverside Investors v Oppenheimer & Co. and Paul Alar Attorneys: For Clalmant(s): Richard Roth Esq. - New York, NY For Respondent(s): Richard Kelly Esq. - New York, NY Date Filed: 04/21/1998 First Scheduled: 10/06/1998 Decided: 05/03/1999 Case Summary: Claimant, a customer, has alleged that respondents engagedin fraud and negligent misrepresentation with respec

«w York Stock Exchange NYSE In the Matter of ArbitrRtion Between CMS: Joel D. Kertnarv- Msa Brawn Attorneys: ^ee CialmaiiKt): Roflild E. DotMSlBin Esq. - Maim, FL Par HwpcwdewHs): Slwlla Mgemfltr Vklmsr Eiq. • BaMnwB, MO Date RIed: (MOanosa First Scheduled: lona/tess Oeoided: 03«2n«ee Case Summary: Cimnnwr daknant ateges traach of oonfldeniitWy previsions of Sedlemeflt AoiMRieM. Produei: OTHER Marker. Claim Dau Award Dan Claim: $5i2,a40.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Todd Sanders v. PaineWebber, James Knowles and Paul Camilleri Attorneys: For Claimant(s): John R. Foley Esq. - Deaibom, Ml For Respoiulent(s): Brian Smith Esq. - Bimningham, Ml Date Filed: 04/21/1998 First Scheduled: 01/12/1999 Decided: 06/07/1999 Case Summary: Claimant alleges that Respondentswrongfiilly terminated him, wrongfully interiered with his prospective eco