New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smith Bamey, Inc. vs. Manuel Garay Attorneys: For Clainnant(s): Alejandro Schwed Esq. - New Yoric, NY For Respondents): Manuel Garay - ManchesterVillage, VT Date Filed: 04/20/1998 First Scheduled: 09/09/1998 Decided: 03/09/1999 Case Summary: Member Finn vs. Registered Rep (Non-employee) alleging breach of a Foreign Referral Agreement, misrepresentations and unaut

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gilbert Sapperstein and Sondra Sapperstein v. Josephthal Lyon 8> Ross Incorporated and Melvin Forman Attorneys: For Claimants): Envin Cohn Esq. - Chicago, IL For Respondent(s): Melvin Forman - Boca Raton, FL Brian Neville Esq. - New York, NY Date Filed: 04/14/1998 First Scheduled: 01/12/1999 Decided: 04/12/1999 Case Summary: Claimants allege unsuitability, churni

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John H. TImmIs and Carol L. Colman v. Alex Brown & Sons Inc. Attorneys: For Claimant(s): Owen Zurhellen Esq. - New York, NY For Respondent(s): Sheila Mosmiller Vidmar - Baltimore, MD Date Filed: 04/07/1998 First Scheduled: 01/26/1999 Decided: 04/14/1999 Case Summary: John H. Tlmmls and Carol L. Colman, customers of Alex. Brown & Sons Inc., allege that the fimn acted

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co., L.L.C. v. Paul Kauffman Attomeys: For Clainriant(s): Marjorie E. Berman Esq. - New Yori^, NY For Respondent(s): James C. Shah Esq. - Philadelphia, PA Date Filed: 04/07/1998 First Scheduled: 10/27/1998 Decided: 4-29-1999 Case Summary: Gruntal alleges ttiat Paul Kauffman, a registered representative, left ils employ and is obligated to repay two prom

y^ New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Prudential Securities Incorporated v. Jerome O'Leary Attomeys: For ClaimantCs): Alan S. Brodherson Esq. - New Yoric, NY For RespondentCs): Peter M. Feaman Esq. - Boca Raton, FL Date Filed: 04/02/1998 First Scheduled: 08/05/1998 Oecided: 04/13/1999 Case Summary: Member firm claimant alleges breach of loan agreementand nonpayment of promissory note. Product: PROMISSORY

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Neil Scarth vs. ABN Amro. Inc. Attorneys: For Claimants): Mark J. Astarita Esq. - New Yoric, NY For Responclent(s): Margaret B. Soyster Esq. - New York. NY Date Filed: 04/08/1998 First Scheduled: 08/05/1998 Decided: 12/22/1999 Case Summary: Registered Rep/Managing Director of European Equities vs. Member Firm (former employer) alleging misrepresentations, undermi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Jack and Gloria M. Ehrler, Trustees to the John W. and Gloria M. Ehrler Trust dtd. 10/12/89 Name of the Respondent Morgan Keegan & Company, Inc. Case Number: 01-03956 Hearing Site: St. Louis, Missouri ( ' Name of the Claimants John W. Ehrler, II and Laura M. Ehrler Name of Respondent \ Morgan Keegan & Company, Inc. -Consolidated

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: All Zandi and Satomon SmHh Bamey and AK Afehar Attonrays: For Claimant(s): All Zandl-Fullerton, CA For Respondeiit(s): Yuri Miku Lka Esq. - New Yoric, NY Date Filed: 03/17/1998 First Scheduled: os/i 2/1998 Decided: /is|if Case Summary: Claimant was contedad by the registered representetive for a bond transaclnn. He agreed with the offer but he asked the broke

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Max T. Jonas and HiMa B. Jones, Max T. and Hilda B. Jones, (as Trustees of the Max and Hilda Jones Living Trust) dated March 7,1996: Laura Jean Wickham, and Kenneth Low and Wikna Low v. Fahnestock & Company Inc. and Wayne Albert Mcintosh Attorneys: For Clalmant(s): Randall K. Calvert P.C. - Oklahoma City, OK For Raspondant(s): Theodore A. Krebsbach • New Yoric. NY Wayne A. Mcint

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities v Joseph Territo and Joseph J. Territo, Nidd, Ltd. and Joseph J. Territo Defined Benefit Pension Plan v. Prudential Securities, Inc., Kenneth IMathieson, Erik Mathieson, Edward McLaughlin, Beverly Boorjy and John Does 1-5 Attorneys: For Claimantls): Arthur BaumgartnerEsq. - New Yoric, NY For Respondeiit(s): Raymond A. Grimes Esq. - Wanen, NJ Date Fiied