4ew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Janney Montgomery Scott LLC vs. Shawn Smith Attorneys: For Claimant(s)-. Howard A. Tescher Esq. - FL Lauderdale, FL For Respondents): Shawn Smith - Naples, FL Date Fiied: O8/15/2001 First Sctieduied: 03/O6/2002 Decided: 03/06/2002 Case Summary: Member Firm vs. Registered Rep (fbmner employee) seeking to recover amounts allegedly due under the terms of a promiss

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Janney Montgomery Scott LLC vs. Darin Perkins Attorneys: For Claimant(s): Howard A. Tescher Esq. - Fort Lauderdale, FL For Respondent(s): Arthur C. Koski Esq. - Boca Raton, FL Date Filed: 08/15/2001 First Scheduled: 03/05/2002 Decided: 03/05/2002 Case Summary: Member Firm vs. Registered Rep (fbrmer employee) seeking to recover amounts allegedly due under ttie terms of a promisso

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Salomon Smitti Bamey v. Gerald Tyre Hendrix Attorneys: For Claimant(s): Martin S. Cole Esq. - New York, NY For Respondent(s): Gerald Tyre Hendrix - Asheville, NC Date Filed: 07/I8/2001 First Scheduled: 03/01/2002 Decided: 9/18/02 Case Summary: Salomon Smith Bamey alleges ttiat its fbrmer registered representative left the firm and is liable to it for the costs of

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Adam Chazan Lewis Chazan r- 01-03824 Namt* of the First Union Securities, Inc. Robert B. Fitzpatrick Gerald F. O'Neill Hearing Site: Philadelphia, PA REPRESENTATION OF PARTIES Claimants, Adam Chazan and Lewis Chazan, hereinafter collectively referred to as "Claimants", were represented by Nicholas L Guiliano, Esq., Attorney at

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kennetti Gilbert v Dean Witter Reynolds a/k/a Morgan Stanley Dean Witter and George Penland Attorneys: For Claimant(s): Frank R. Berman Esq. - Edina, MN Konstandinos Nicklow, Esq. - Minneapolis, MN For Respondent(s): Nina S. McKenna Esq. - Kansas City, MO Date Filed: 08/oe/200i First Scheduled: 05/08/2002 Case Summary: Customer against l\tember Fimn for firaud and mi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Arthur C. Hettinger v. UBS PaineWebber, Inc. (formerly known as PalneWebber.lnc.) and Walter M. Mandel Attorneys: For Claimant(s): Jonattian H. Colman Esq. - Paoli, PA For Respondent(s): John E. Jenkins Esq. - Weehawken, NJ Date Fiied: 07/25/2001 First Scheduied: O8/O6/2002 Decided: 8/21/2002 Case Summary: Arthur Hettinger alleges that the bulk of his retirement moni

New York Stock Exchange (n the Matter of Arbitration Between NYSE Case: Richard Eaton v. Merrill Lynch Pierce Fenner & Smitti, Paine Webber,lnc. and Paul Oilman Attorneys: For Claimant(s): John Agostini Esq. - Pitttsfield, MA For Respondent(s): Andrew Melnick Esq. - New York, NY Date Filed: 07/30/2001 First Scheduled: 04/09/2002 Decided: 8/21/2002 Case Summary: Richard Eaton alleges ttiat ttie Respodent Paul Oilman (first at PaineWeb

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Michael Rodeno v ABN AMRO, Incorporated Attorneys: For Claimant(s): Shepard Davidson Esq - Boston, MA For Respondent(s): C. Tama Donovan Esq. - Boston, MA Date Filed: 07/30/2001 First Scheduled: 04/09/2002 Decided: 06/19/2002 Case Summary: Registered representative alleges breach of Employment Agreement and failure to pay secondary bonus, failure to pay severance bonus, fail

Jew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Prudential Securities Inc. v Frank L. B. Koucky, III Attorneys: For Claimant(s): Amy Levenson Esq. - Washington, DC For Respondent(s): Mitchell S. Ostwald Esq. - Sacramento, CA Date Filed: 07/24/2001 First Scheduled: 04/04/2002 Decided: 11/15/2002 Case Summary: Claimant, a member firm, has alleged ttiat respondent breached his agreement by failing to repay mone

New York Stock Exchange in the Matter of Arbitration Between y ^fYSE Case: Roy N. Nahas v Wedbush Morgan Securities Attomeys: For Claimant(s): Scot D. Bernstein Esq. - Mather Fiekl, CA Mari< E. Maddox Esq. - Indianapolis, IN For Respondent(s): Gary L. Holmes Esq. - Los Angeles, CA Jeffrey S. Portaioy Esq. - Honolulu, HI Date Filed: 07/17/2000 First Scheduled: 01/31/2002 Decided: sW t ^ Case Summary: Customer v Mem