New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jack N. Widtok and Frances Widtok vs. Shearson Lehman Bros. Attorneys: For Clain»nt(s): Jack N. Wtoick - Ocato, FL Fbr Respondent(8): Willtom Hohauser Esq. - New York, NY Date Filed: 07/24/91 First Scheduled: Decided: Case Summary: Customer vs. Member Firm alleging misrepresentations, dishonesty and mishandling of Ctolmant's account with regard to an investment i

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robin p. Merante vs. Shearson Lehman Bros. Attorneys: For ClaJn»nt(s): Robin P. Merante - Garden City, NY Fbr Respondent(8): William A. Hohauser Esq. - New York, NY Date Filed: 07/24/91 First Scheduled: 03/10/92 Decided: 3/31/92 Case Summary: Surviving wife of customer vs. Member Firm alleging misrepresentations, deceit, illegal and unauthorized trades to Chemtoal Ba

New York Stock Exchange In the Matter of Arbitration Between NYSE- Case: Painewebber Inc. v. Jerome Amster Attorneys: For Ciainnnt(s): Steven M. Greenbaum Esq. - Miami, FL Fbr Respondent(s): Martin B. Woods Esq. - Miami, FL Date Filed: 07/I6/91 First Scheduled: 04/07/92 Decided: 06/10/92 Case Summary: Member Firm V. Customer to recover debit balance to tiie customer's account. Product: OPT Market: NYSE Claim Data Claim: $

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: JNI Feinberg v Bear Stearns & Co., Inc. Attorneys: For Ctoiniant(s): Debra L Raskin Esq. - New York, NY For Respondent(s): Ronakl Green Esq. - New York, NY Date Filed: 07/18/91 First Scheduled: 07/07/92 Oecided: 11/19/92 Case Summary: claimant alleges that Respondent terminated her because of her gender. Product: Market: Claim Data Claim: Uns Punitive

New York Stock Exchange In the Matter of Arbitration Between Case: Advest mc. V. EMn Barks Attorneys: For CUtmilfi: MiehMl A Vatonii Esq. - Louisvile, KY Chariea C. MoConnel Esq. - Louisvila. KY Date Filed: 05/i6«i First Scheduled: 07/22/02 Decided: 07/28«2 Case Summary: Claunant asserts breach of emptoyment agreement Product: AMEX Market: aaim Oata Claim: $45,000.00 Punitive: $0.00 Atty Fees: Uns Oeposit: $600.00

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joyce Rubin as trustee for Michael Rubin v Tucker, /\nthony & R.L. Day and Leonard Salmanson Attorneys: For Ctoimant(s): Herbert M. Deutsch Esq. - Garden City, NY For Respondent(s): Lloyd S. Clareman Esq. - New York, NY Date Filed: O6/12/91 First Scheduled: O6/10/92 Decided: 06/19/92 Case Summary: Customer's trustee v Member Firm and Registered Representatives to rec

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimant Karen L. Godwin hereinafter referred to as "Claimant" v. Gary S. Godwin, (Gary Godwin), Peggy L. Godwin f/k/a Peggy L. Earls ("Peggy Godwin") and Legg Mason Wood Walker, Inc., ("Legg Mason"), hereinafter collectively referred to as "Respondents" Case Number: 01-04864 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Thomas L. Hunt, Esq., of Houston, Texas, represen

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Irene Kolen & Maxwell Goldpin, Trustees U/A 11/16/71, F/B/O Joel Kolen; Michelto Kolen & Irene Kolen, Trustees U/A 4/23/84, F/B/0 Kerri Kolen & Michelle Kolen & Irene Kolen, Trustees U/A 4/23/84, F/B/O Jennifer Kolen v Merrill Lynch, Pierce, Fenner & Smith, Inc. & John Lalena Attorneys: For Claimant(s): John Lawlor Esq. - Garden City, NY Fbr Respondent(s): Todd Zuckerbrod Esq. -

New York Stock Exchange n the Matter of Arbitration Between NYSE Case: John Petrovlch v. Painewebber Inc. Attomeys: Fbr Claimant(s): Brian P. S. McCabe Esq. - Denville, NJ Fbr RespondentCs): Joseph F. Ganerelli, Esq. - Weehawken, NJ Date Filed: 07/12/91 First Scheduled: 03/2s.'92 Decided: 3 kdi Case Summary: Customer v. Member Rrm for unauthorized trading. Member Firm had previously filed suit in NJ state court to recover the deb

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Anne Garbatow vs. Paul Garofolo and Jesup, Josephttial & Co. Attorneys: For Claimant(s): Anne Garbatow - West Palm Beach, FL Fbr Re8pondent(8): Roger Ftoler Esq. - Glen Rock, NJ Joseph Schmtot - New Yori(„ NY Date Filed: 07/I8/91 First Scheduled: 01/14/92 Decided: 01/14/92 Case Summary: customer vs. Registered Representative and Member Firm alleging misrepresenta