New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Janney Montgomery Scott v. Carmen Dean Morrone, Jr. v. David Scott Shapiro Attorneys: For Claimant(s): Peter C. Kennedy Esq. - Philadelphia, PA For Respondent(s): Marc D. Powers Esq. - New York, NY Date Filed: 10/17/2000 First Scheduled: 01/12/2001 Decided: 2-25-2001 Case Summary: Janney Montgomery Scott ("JMS") alleges that Ite former registered representative Carme

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: David P. McCarttiy v. Tucker Anthony.Inc Attorneys: For Clainiant(s): David P. McCarttiy - New Providence, NJ For Respondent(s): David J. Campbell Esq. - Morristown, NJ Date Filed: IQ/19/2000 First Scheduled: 02/15/2001 Decided: 6/28/2001 Case Summary: David McCarthy was a customer of Tucker Anttiony. Mr. McCarthy alleges ttiat ttie finn recommended two unsuitetite

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Andrew Chrysan v. Josepthal & Co. and Peter Mamate Attorneys: For Clainfiant(s): Andrew Chrysan - Long Island City, NY For Re5pondent(s): John Bersin Esq. - New York, NY Date Filed: 10/05/2000 First Scheduled: 04/li/200l Decided: 04/11/2001 Case Summary: Andrew Chrysan was a customer of broker Peter Mamate and Josepttiai & Co. Mr. Chrysan alleges ttiat Mr. Mamate tei

New York Stock Exchange )in the Matter of Arbitration Between NYSE Case: Ronald M. Kromar v. TD Waterhouse Attorneys: For Claimant(s): Ronald M. Kromar - Wlltoughby, ON For ltespondent(s): Miles Hart Esq. - Btoomfield Hilte, Ml Date Filed: 10/13/2000 First Scheduled: 03/08/2001 Decided: 4/3/01 Case Summary: Ronakl Kromar, a customer of TO Waterhouse. afleges that his margin account was mishandled and shoukl have been liquidated earli

lew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Patrida Venner v. Merrill Lynch and Alten F. Ramey Attorneys: For Clalmant(s): Patrida Venner - New Yoric, NY For Respondent(s): Dominick -NewYori< ,NY Evangelista,Esq. Date Filed: 10^6/2000 First Scheduled: 03/13/2001 Decided: 4-5-2001 Case Summary: Patrida Venner had a margin account with Memll Lynch and ite broker, Allen Ramey. Ms. Venner alleges ttiat her marg

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jacob Rahmanan, Moussa Rahmanan, Mahin Rahmanan, Bryan Rahmanan, Mehran Hakimian, Ramin Kalaty, Morris Soleimanian, Daryush Rahmanan and Moussa Rahmanan & Sons, Case Number 01-03919 Claimants, v. New York, New York CIBC Oppenheimer Corp., Steven Feit, Scott Abry and "John Does 1-5" (Members of CIBC Oppenheimer's Legal and Complaince Depar

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Denise Campbell and Guy G. Campbell v Merrill, Lynch, Pierce, Fenner & Smith, Inc. and Chartes J. Johansen, III Attorneys: For Claimant(s): Malcolm Dtehongh Esq. - Houston, TX For Respondent(s): Ellen Sheridan-Cona Esq. - New Yori«, NY Date Filed: 09/25/2000 First Scheduled: 03/14«)0l Decided:03/23/2001 Case Summary: Claimante, publk: customers, allege fraud, neglige

New York Stock Exchange In the Matter of Arbitration Between ly^' SE Case: Sarah M. Brawn c/f Emily J. Brown and Medford J. Brown v. Janney Montgomery Scott /attorneys: For Ciaimant(s): John R. Carly Esq. - Bryn Mawr, PA For RespondentCs): Paute D. ShaAher Esq. - Philadelphia, PA Date Filed: 07/24/2000 Case Summary: Sarah Brown, First Scheduled: 02/27/2001 Oecided: 7/25/2001 a customer, alleges ttiat her account executive alt

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Merrill Lynch v William T. TIdwell Attorneys: For Claimant(s): Sean E. Campbell Esq. - New York, NY For Respondent(s): William T. Tidwell - Bay City, Ml Date Filed: 09/15/2000 Case Summary: Claimant, a member firm. First Scheduled: 06/13/2001 Dedded: has alleged ttiat respondent failed to repay rixiney owed pursuant to i Product: Market: 07/12/2001

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mark W. Naylon v Morgan Stentey Attorneys: For Claimant(s): Mark W. Naylon Esq. - Overland Park, KS For Responttent(s): Doug Stone Esq. - New York, NY Date Filed: 09/26^000 First Scheduled:04rtvw200i Decided: April 11, 2001 Case Summary: Claimant, a customer, has alleged ttiat respondente executed an unauttiorized sale of Enzo Biochem stock. Product: Market: Clai