New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearwn Lehman HuRon Inc. v. Richard Patttegyi Attorneys: For Clamani(»): Bruofi G. Alexander Esq. - West Palm Beach, FL For ftnipqtidontd): David A. Coven &q. - R. Lauderdale, FL Date Filed: IOA)2/9Q First Scheduled: 04/00/82 Dedded: 04«9/92 Case Summary: Member Finn V. Ragtriared Represemaim for adegad breach of training agreettteni when respondent Ml claimant's em

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kattiloon E. Edlndge and Bill Ekirkige v Dean Witter Reynokis, Inc., Paul Roye and Henry /^uwinger Attorneys: For Clainiant(s): Kathloon Ekjridge - San Francisco, CA For Respondent(s): Judith M. Rosenberg Esq. - San Francisco, CA Date Filed: O6/26/90 First Scheduled: 01/221^2 Decided: Case Summary: customer has alleged that the account was churned. Customer has also

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company vs. tJennis & Detores McCormack Attorneys: For Claimant(s): Davki Gorobetz Esq. - New York, NY For Respondent(s): Avrom J. Gold Esq. - West Orange, NJ Date Filed: 09/10/90 First Scheduled: 07/31/91 Decided: 09/09/92 Case Summary: Member Rrm vs. former Registered Representatives where claimants allege breach of terms of a promissory note and breach o

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Shearson Lehman Huttton Inc. v Edward Spehar, Sr. Attorneys: For Claimani(s): Bruce G. Alexander Esq. - W. Pelm Beach, FL Fbr Respondent(s): Edward Spehar Sr. - Key West, FL Date Fiied: 06/i3i^ First Scheduled: 07/17/91 Decided: 03/02/92 Case Summary: Member Firm V Registered Representatlva for alleged failure to pay promissory note after Respondent lef

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert J. Sternberg v Morgan Stanley & Company. Inc. and Mark Walsh Attorneys: Fbr Claimant(s): Jeffrey L. Lkidle Esq. - New Yorit. NY For Respondent(s): Roneki Green Esq. - New York. NY Date Filed: 07/05/90 First Sciieduled: 02/2S/91 Decided: 09/30/92 Case Summary: Registered Representative against Member Firm and Registered Representative for alleged wrongful termi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Betty and GeraM Vole v Painewebber, George Schedler and Robert Larson Attorneys: For Clainiant(s): Gary Stumpp Esq - New York. NY For Respondent^): Patrick Howley Esq. - Weehawken, NJ Date Filed: 10/12/90 First Sctieduied: 07/15/91 Decided: 01/20/92 Case Summary: customer against Member Firm and two registered representives fbr alleged fraud and unsuilabilily in inve

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants JohnH.Ruhle ? Jr. Jill Ruble Woodcock Case Number: 01-04812 Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Joseph M. Dempsey Robert D. Jones, Jr. Hearing Site- Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Persons. RKPEF.SKMTATTON OF PARTTFS Claimants, John

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Shearson Lehman Hutton, Inc. -v- Davki Schaffer Attorneys: For Clainiant(s): James Meyer, Esq. - New York, NY Fbr Respondent(s): Davki Schaffer - Springfieki, MA Date Filed: 03/15/90 First Sctieduied: 07/30/91 Decided: 12/11/92 Case Summary: Member firm against customer. Claimant seeks payment of debit balance in customer's account. Product: OTHER Market: NYSE

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman Hutton, Inc. v William J. lerardi, III Attorneys: For Clainiant(s): Kevin McCann Esq. - Hartford, CT For Respondent(s): William J. lerardi. III - Hamden, CT Date Filed: 04/19/90 First Sciieduled: 04/19/90 Decided: 09/01/92 Case Summary: Member firm against non-member for alleged default on promissory note. Product: PROMISSORY NOTE Market:-{

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Sharon Martin v. Prudential-Bache Securities Inc.. Steve Hall & Michael Dougherty Attorneys: Fbr Clainant(8): Thomas L Kennedy Esq. - Cotorado Springs, CO For Respondent(s): Stuart N. Bennett Esq. - Denver, CO Carlos Rkxa Esq. - New York, NY Date Filed: 11/02/90 First Sctieduied: 07/09/91 Decided: 4/9/92 Case Summary: customer v. Member Firm & Registered Re