v-i-^-m New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Herbert Martin and Diane Hartin vs. Robinson Humphrey Co., Inc. and Hichael Anaclerio Attorneys: For Claiiant(s): Richard E. Hiley - South Carolina, For RespondentCs): Uayne Hillis Esq. - Atlanta, GA Date Filed: 12/06/91 First Scheduled: 05/07/92 Case Suaaary; Clainant alleges that the Respondents breached their fiduciary duty, trades in connection uith the p

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf fhf* n^TTIr'nt f!flsp Niimher! 01-04907 Marcia M. Scrivener r ™f th? RfFp nru 1 pTltc: Hiring Site' Richmond, VA Scott T. Marshall First Union Securities, Inc. (n/k/a Wachovia Securities, Inc.) -F.S NTATTON OT Claimant Marcia M. Scrivener ("Claimant") represented herself. Respondents, First Union Securities, Inc. (n/k/a Wachovia Securities, Inc.) and Scott

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Ruben Windmiller v Cowen & Company Attorneys: For Clainnnt(s): Ruben Windmiller - New Rochelle, NY Fbr Re8pondent(s): Lawrence Leibowitz Esq. - New York, NY Date Filed: 12/I6/91 First Scheduled: 03/24/92 Case Summary: Customer against Member Firm for failure to execute ttansaction as Product: EQU instructed. Decided: Market: 03/24/92 Claim D

r r New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Arthur L. Hennessey v Merrill Lynch, Pierce, Fenner & Smith Inc. Attorneys: For Claimant(s): Arthur L. Hennessey - Brielle, NJ For Respondent(s): J. Michael RIordan Esq. - Morristown, NJ Date Filed: 12/10/91 First Scheduled: 03/26/02 Decided: 09/23/92 Case Summary: Registered representative, fbrmer emptoyee against member firm for alleged unlawfull termin

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: John Pace vs. Shearson Lehman Hutton, Incorporated and Paul C. Davy Attorneys: For Claimant(8): Dennis H. Tayk>r Esq. - Houston, TX Fbr Respondent(s): Bradley M. Whalen. Esq. - Houston, TX Date Filed: 10/10/90 First Scheduled; 01/10/91 Decided: 08/O6/92 Case Summary: Customer vs. Member Rrm and Registered Representative for alleged unsuitabirity, chuming, misre

'^^ew York Stock Exchange All the Matter of Arbitration Between NYSE Case: Joaa labachnlk v. Shearaon Lahman Hidton Inc. Attorneys: FbrCUmaniO): Caries Diaz-Padran Esq. - Coral OabiaB, FL For Riipondartfi): Lonnie Browns ZangnUo Esq. - Watt Palm Beach, FL Data Filed: 11/14/91 First Scheduled: 09ne«2 Dedded: 12/17/92 Caae Summary; Claimwit alleges tha unujihoriaad purohaw of 100,000 in notes iNued by ttw Bank of N«w England. Product

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert Dresnack and /Vrleen Dresnack v Neil Lerner Attorneys: For Claimant(s): Robert Dresnack - East Brunswk:k, NJ For Respondent's): Madelyn A. Levy Esq. - New York, NY Date Filed: 12/06/91 First Scheduled: 04/07/92 Decided: 06/17/92 Case Summary: customers against Registered Representative for alleged misrepresentation, unsuitability and failure fo follow in

New York Stock Exchange .n the Matter of Arbitration Between NYSE Case: Pavid Posner v. Merril Lynch Pieree Fenner & Smith Inc. Attorneys: For Clalmant(s): David Posner - Pemtiroka Pines, FL Fbr RaspondeniCa): Paul S. Stuart Eaq. - R. Lauderdale. FL Date Filed: 11/27/01 First Scheduled: oa/ieraz Oecided: oa/i6i«2 Case Summary: Claimant alleges misrepresentation of malarial lacis concerning Cigna Hi Income Stock and misnianagament of the

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John Costas v Shearson Lehman Brothers, Inc. Attorneys: For Claimant(a): Cari Person Esq. - New Yoric, NY For Respondeni(s): Paul R. Williams Esq. - Mineola, NY Date Filed: 12A)2/9I First Scheduled: 11/24/92 Decided: 11/24/92 Case Summary; Customer against Member Firm for alleged failure to foHow the 'know your customer* rule, unsuitability, failure to foUow Cust

/ 'ew York Stock Exchange il the Matter of Arbitration Between NYSE Case; Catherine Cumberpatch v Kidder, Peabody & Co. Attorneys: Fbr ClaHnant(s): Anne C. Viadeck Esq. - New York, NY For Respondent^): Thomas A. Dubbs - New Yorit, NY Date Filed: 11/21/91 First Scheduled: osm/sz Decided: 08/18/92 Case Summary; Registered Representative against Member Rnn for alleged sexual discrimination. Product: Market: Claim Data