New York Stock Exchange In the Matter of Arbitration Between NYSE Case: George H. Gray v. Tucker Anttiony and Co. and Lee Lovejoy Attorneys: For Ciaimant(s): Anthony J. Hom Esq. - Philadelphia, PA For Respondent(s): Denis Dice Esq. - Philadelphia, PA Date Filed: 04/29/1997 First Scheduled: 01/13/1998 Decided: /^-^^y-z-^T^ Case Summary: George Gray, a fonner registered representetive of Tucker Anthony, suffers from Graves disease. Mr.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alan Schiffiren v. Prudential Securities Inc. and John Annicelli Attorneys: For Claimant(s): Rodney L. Salvati Esq. - Rklgefield, CT For Respondent(s): Timothy P. Coon Esq. - White Plains, NY Date Filed: 01/08/1997 First Scheduled: 09/24/1997 Decided: 09/24/1999 Case Summary: ClaimanL a public customer, alleges negligence and fraud against respondente, a member firm

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Paul Kebbe and First Financial Services, sari v. Republic New Yoric Securities Corporation Attomeys: For Claimant(s): Louis F. Burke Esq. - New York, NY For Respondent(s): Stephen A. WIeder Esq. - New York, NY Date Filed: 12/31/1996 First Scheduled: 09/08/1997 Decided: ^-i^^7 Case Summary: Paul Keebe, was a customer of First Financial Services ("First Finan

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: EARL GALLO and SUZANNE GALLO, Claimant(s) Case Number: 01-03925 vs. Hearing Site: Omaha, Nebraska TRANSAMERICA FINANCIAL ADVISORS, INC. (f/k/a TRANSAMERICA FINANCIAL RESOURCES, INC.) SHANNON FINANCIAL SERVICES, INC. and LONNIET. SHANNON, Respondent(s). REPRESENTATION OF PARTIES Claimants, Earl Gallo and Suzanne Gailo, heieinaflei collectively referred

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smitti Bamey Inc. v Daniel A.,Earisl Attomeys: For Claimant(s): Eric L. Aidler Esq. - New Yoric, NY Brian F. Amery Esq. - Morristown, NJ For Respondent(s): Pataick G. Finegan, Jr. Esq. - WashHigton,DC Salvatore R. Martoche Esq. - Buffalo, NY Date Filed: 07/03/1996 First Scheduied: 02/11/1997 Decided: 1/27/99 Case Summary: ClaimanL a member firm, has alleged t

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Fahnestock & Company, Inc. vs. Wheat First Butcher Singer, Inc. f/k/a Wheat First Securities, Inc., Sean Lichting, Scott Salisbury, Lynn Stanavitch and Michael Stango Attomeys: For Clalmant(s): Eric J. Shames Esq. - New York, NY Burton W. Wiand Esq. - Cleanvater, FL For Respondent(s): Peter W. Schneider Esq. - Atianta, GA Date Filed: 05/20/1996 First Scheduled: og/i

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Josephttial Lyon & Ross inc. v Robert L. Green Attorneys: For Claimant(s): John Bersin Esq. - New York, NY For Respondent(s): . Marc S. Bresky Esq. - ElmhursL NY Date Filed: 02/06/1996 First Scheduled: 10/10/1996 Decided: 1/6/99 Case Summary: Claimant employed respondentand offered him 2 kians. It is alleged ttiat respondentfailed to perform as promised. Claimant

i\ew York Stock Exchange NYSE In the Matter of Arbitration Between Case: Rita Hauser, Mericantus,A.G.. HauserTreuhandandConstantia InvesttnenL A.G. i.L, v. Memll Lynch, Pierce, Fenner & Smith, Inc., Merrill Lynch & Co., Inc., Merrill Lynch Commodities, Inc., Merrill Lynch Futures, Inc., Merrill Lynch intemational. Inc., Menill Lynch International Bank, Ltd., Merrill Lynch Bank Suisse. S.A., Fall Roowalla, Tiziano ScacchI, Alfred Lutz, /Mfred Berger and Michel B. Herat

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Alfred Baffa. Gemma Bafb, Morton J. Berman, Cressman Partnership, James C. Fon-ister, Geneva W. Forrister, Gary Golubieski, Emily L. Goodwin, GouU Family TrusL Jacquelln Klein, Harold Levy, Harriet Levy, Jacob Lkihtman as Trustee of the Textile Promotions Profit Sharing TrusL Jacob Lichtman as Plan Administrator of ttie Acme Chiklrens Wear Defined Benefit Pension Plan, Eli Lichbnan, Kivo Ltehttnan

/ ^New York Stock Exchange In the Matter of Arbitration Bet>ve< !n NYSE Case: David M. Peretz (as Custodian of the David M. Peret Keogh Plan) v. Salomon Smilh Bamay Inc. Attorneys: For Claimantls): David M. Peretz - New Rochelte, NY For Respondent(5): Ann Parry Esq. - New York, NY Date Filed: 12/08/2000 First Scheduled: 02/23/2001 Decided: 02/23/2001 Case Summary: Clalmanu a public customer, alleges ttial the respondent'sdelay in exae