New York Stock Exchange In the Matter of Arbitration Between NYSE Case: shearson Lehman Brothers v. Fred ar^l Naziro Hetou Attorneys: For Claimanttft): Susan 7 English Esq. - New York. NY For neapondantfr): Eugene A Romano Esq. - Brooklyn. NY Date Filed: 01/30/91 First Scheduled: 09/19/91 Deckled: 02/19/92 Case Summary: MF v. C - claimant seeks payment of debit balance remaining in customer's account foUowing Kquklatton for failure to pa

New York Stock Exchange In the Matter of Arbitration Between A NYSE Case: Shearson Lehman Hutton v. Paul Kardos Attorneys: For Clairnant(s): James T. Meyer Esq. - New York, NY Fbr RespondentCs): Paul Kardos - Springfieki, MA Date Fiied: 01/22/91 First Scheduled: 10/30/91 Decided: 04/io/92 Case Summary: MF V. RR claimant seeks reimbursment for monies paki to customer of respondent for kisses incurred as a result of his unauthorize

New York Stock Exchange In the Matter of Arbitration Between Case: smith Barney Harre Upham & Company v William S. Shepherd. Jr. Attorneys: For Claimant(s): Eugene V. Clark Esq. - New York, NY For Respondent(s): William S. Shepherd Jr. - Houston, TX / NYSE Date Filed: 06/18/90 First Scheduled: 11/10/92 Decided: u|3o\^a- Case Summary: Member Firm against registered representative for outstanding balance due on a promissory note. P

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Charles V. and Frances M. McGreevey vs. Shearson Lehman Brothers. Howard Clark and John Hayes Attorneys: For Clainmnt(s): Charles V. McGreevey - Myrtte Beach. SC Fbr Respondent(s): William A. Hohauser Esq. - New York. IMY Date Filed: 02/25/91 First Scheduled: 04/27/92 Decided: O6/18/92 Case Summary: Customers vs. Member Firm and Registered Reps alleging misrepr

( New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Howard Berger v Merrill Lynch Pierce Fenner & Smith, Inc. Attorneys: For Claniiant(s): Rtohard K. Sacks Esq. - Lakewood, NJ Fbr Respondeiit(s): Todd A. Zuckerbrod Esq. - New York, NY Date Filed: 03/01/91 First Scheduled: 10/23/91 Decided: 01/28/92 Case Summary: Customer against Member Rrm for alleged unsuitability regarding the purchase of General Devetopment B

New York Stock Exchange NYSE m the Matter of Arbitration Between Case: Seacoast Investor Services, Inc. v U.S. Clearing Corp Attorneys: For Ciaimiant(s): Paul EMdge Pros. - Stuart, FL For Respondentfs): ,^ , ^ «-> . -sr„ C J ^ e f - ^ ^ ^ C-ev^f. Date Fiied: 02A)S/91 First Scheduled: 12A)3«1 Case Summary: Non Member V. Member Firm for alleged breach of clearing agreement in charges. Claimant contends t

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: JOSEPH L ROI DMAN vt 1. SHEARSON LEHMAN HUTTON INCORPORATED Attorneys: For ciaimantts): Frank G. Waltermire. Esq. - Houston. TX Fbr Re8pondent(a): Rudy A. England - Houston, TX Date Kiled: 02/28/91 Case Summary: customer vs. and misrepresentation, fraud. • Claim Data Claim: $35,000.00 Punitive: $0.00 Atty Fees: yns Deposit: $40O.oo First S

yn New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Merrlll Lynch Pierce Fenner & Smith V. Kevin Marshburn. Kathryn Sarabasa and Kathleen Chiappone and Prudential Bache Securities Attorneys: For Claimart(s): Thomas Loder - Paoli. PA For Respondent(s): Curtis Carlson Esq - Miami, FL Date'Filed: 02A)4/9i First Scheduled: 12/10/gi Decided: /^A//^/ Case Summary: Member Firm V. Member Rrm and Registered Represen

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John P. Gavin and 01-04825 Minneapolis, Minnesota Name of Respondent American Express Financial Advisors, Inc. REPRESENTATION OF PARTIES John P. Gavin ("Claimant") was represented by Gerald T. Laurie, Esq., of Laurie & Laurie P. A., St. Louis Park, Minnesota. American Express Financial Advisors, Inc. ("Respondent") was represented by Donald R. McNeil,

V New York stock Exchange In the Matt:er o£ Arbitration Between NYSE Case: Helen L. Walters v,^atefflan''Eichler Hill Richards, Inc., Thomas R. Oaian; Filan Uilliams; Larry Hudack J>_ Attorneys: For Claiaant(s): H. Thoaas Fehn, Esq. - Los Angeles, C A 1 For Respondent(s): Paul J Coady Esq - Los Angeles, CA Date Filed: 02/05/31 First Scheduled: 04/27/92 Decided: 10/08/92 Case Summary; Registered representative (former empl